• c. £55-60,000 pro-rata
  • London, England, United Kingdom
  • Contract, Full time
  • Barclay Simpson
  • 2018-11-12

Compliance Monitoring Officer (6mth FTC contract)

Our client is a global capital markets firm, seeking an interim compliance officer to undertake monitoring and surveillance of trading activities across the business.

~~Key responsibilities:
• Compliance monitoring and surveillance of trading activities.
• Undertake follow up, forensic analysis of alerts generated by trade/order/communication surveillance systems.
• Execute controls as per Compliance Controls Framework.
• Investigations as directed by Compliance Monitoring Manager.
• Coordinate requests for information from regulatory authorities and exchanges.
• Contribute to the ongoing upkeep of Compliance monitoring procedures and documentation.
• Execute monthly tasks such as block trade reviews, call monitoring and regular information submissions to Regulators.
• Support the ongoing development of Compliance systems.
• Assist with quality assurance controls on monitoring & surveillance activities.
• Fulfil any additional / ad-hoc duties as required to meet the needs of the business.

You will be an experienced compliance officer with a background within capital markets: investment banking, brokerage, spread-betting, consulting etc.  You will have a good knowledge of relevant FCA, EC, EMEA regulations and industry standards.