Compliance Monitoring & Surveillance Officer

A financial services firm are recruiting 2 Compliance Monitoring & Surveillance Officers to join their growing function. As well as BAU monitoring & surveillance the role will involve assisting in the build of frameworks for the function.

Key responsibilities:

• Carry out trade surveillance monitoring to detect market abuse or improper trading behaviour
• Conduct reviews in accordance with the Compliance Monitoring Plan
• Responding to regulatory enquiries
• Assisting with PA Dealing approvals and monitoring of the Restricted List

Successful candidates will have:

• Compliance monitoring and surveillance experience within a financial services firm
• Experience raising STORs (preferable)
• Knowledge of market abuse regulation (preferable)
• Knowledge of various products including FX and Derivatives (preferable)
• Excellent communication skills both written and verbal