This firm is a global investment banking company with this role being based in their London office. Operating around the world they offer a variety of investment banking services including, equities, FX and FX derivatives, capital markets, M&A, commodities and more.
The primary responsibility of this role is to provide support as a Compliance Officer (Trade Surveillance) to a diverse range of businesses within this financial services firm.
Your responsibilities may include:
- Conducting trade surveillance and related monitoring activities as part of the firm's compliance monitoring plan
- Providing advice and guidance to front office staff in resolving compliance and regulatory issues
- Assisting in the delivery of compliance surveillance related projects or initiatives
- Conducting thorough reviews, including trade, audio and e-comms, for any suspicious behaviour
- Ad-hoc compliance duties as required
To be considered for this job, you will have the following experience:
- Strong experience in a trade surveillance compliance role at a wholesale, retail or professional services firm
- Relevant regulatory knowledge including some of the following: COBS, CASS, SYSC, MAR, LSE and other rules, MiFID II, HMRC ISA Rules, JMLSG
- Knowledge of Best Execution rules would be preferred but not essential
- Confident and independent self-starter willing to take ownership of issues and drive to resolution
- Ability to learn quickly and solve problems
If you feel you have the relevant experience for this newly created opportunity then please apply to this advert and send your CV to Jack Quaile at Twenty Recruitment.
Twenty Recruitment's Compliance function are a team of specialist consultants covering Financial Crime Compliance and Regulatory Compliance mandates, both permanent and temporary, across Financial Services, Technology and Energy.