Trade Surveillance - Compliance Monitoring

Reed ,
London, Greater London
More Details
Job Type: Full-time
Salary: £35,000 per annum

Overview

A leading Bank based in London are now hiring for a Compliance Monitoring Executive on a Permanent basis paying £38,000 to £57,7500 per annum, This is an exciting opportunity to join the Business Compliance Monitoring Surveillance Team (BCMS) in London which is responsible for monitoring for Market Abuse through designing, implementing, monitoring and testing a transversal range of surveillance models across the entire range of Businesses globally. Appropriately escalating first level suspicious behaviours through transactions and orders is fundamental to the role. The CM&S Framework monitors transactions and communications within all the business lines including: Global Markets Division. Global Investment Banking.; Treasury (including LIBOR submissions). Experience required: Trade Surveillance Monitoring experience Prior experience in eCommunications surveillance, trade surveillance, market abuse, market conduct or compliance within an investment bank Understanding of basic Capital market products such as FICC products, repo, Origination, Syndication, Credit and Treasury. Understanding of Market Abuse Regulation and the associated Alert Scenarios, but not limited to: Layering/Spoofing, Front Running, Wash Trades, Ramping, Cross Product/Venue Manipulation, Manipulation of Benchmarks. Solid controls development experience - streamlining processes and controls. Ability to review and analyse data then present results statistically in MI format. Proven experience of delivering high quality compliance MI reports for senior management. Proven experience of executing compliance reports and investigations or similar regulatory reports. Ability to track and document investigation until resolution. Proven experience of written communications with senior managers Ability to constructively challenge Front Office. Detailed knowledge of UK and European Legislation Data management and IT literacy (trade capture systems and downstream feeds) risk systems, surveillance tools, databases and spreadsheets and statistics). Report writing skills Desirable: Solid working understanding of a compliance risk management framework. Knowledge of financing bank products such as Repo, Loans, , Debt Syndication, Distribution, Structured Finance, Project Finance, and Trade Finance. Familiarity with regulation surrounding electronic communication surveillance Experience with Trade, Voice and eCommunications surveillance software Understanding of EU and UK Compliance requirements, regulatory and exchange requirements - in particular with respect to Market Abuse and Conduct Risk. Compliance related Professional Training qualification (e.g. FINRA, CISI). University degree or equivalent level of experience Visual Basic Good understanding of the regulatory and legal requirements for internal investigations as well as the compliance/ Regulatory topics in the Financial Services industry Ability to develop in-depth investigative, technical and analytical skills. Ability to perform searches using external sources and tools If you would like to apply, please in the first instance send a up-to-date CV

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