An excellent opportunity to work in a high profile, visable compliance role for a top tier investment bank, which has an extensive and reputable global presence.
Your responsibilities will include the following: • Managing a medium sized team responsible for the surveillance and monitoring of all EU Sales and Trading. • Advisory coverage to the institutional cross products divisions. •Responding to FSA and other regulatory enquiries as well as dealing with Exchanges and answering their queries. • Responding to internal enquiries relating to potential compliance risks identified by advisory compliance officers. • Using internal and external systems data sources for research. • Electronic surveillance of transactions, utilising alert based reports. • Heading up various value add projects reporting into the head of Compliance • Participate and lead internal and external surveillance and monitoring discussions • Training
Who we're looking for • Educated to degree level preferable and relevant professional qualifications an advantage. • Equity, Fixed Income and/ or Commodities product knowledge an advantage. • Management track record ideal. • Proven track record of working in a relevant compliance role for reputable financial institution, including knowledge of surveillance systems. • Excellent communication skills. • Strong analytical ability. • An ability to quickly understand complex trading activities and business areas. • Presentable and articulate. • Resilient, determined and hardworking.
• Assisting with the testing of external monitoring systems.
Incisive Media Limited, Haymarket House, 28-29 Haymarket, London SW1Y 4RX, is a company registered in the United Kingdom with company registration number 04038503
