COMPLIANCE OFFICER, TRADE SURVEILLANCE (FTC) IMMEDIATE START!
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| Job Type | Contract |
| Area | City, UK |
| Sector | BankingCompliance |
| Salary | up to £55k, pro rata |
| Currency | GBP |
| Start Date | |
| Job Ref | VAC-12338 |
| Job Views | 385 |
- Description
- URGENT REQUIREMENT. Wealth Management company based in their London office have an opening for a fixed term contract until the end of March 2020. Products to include equities, fixed income, capital markets, M&A. The primary responsibility of this role is to provide support as a Compliance Officer (Trade Surveillance) within the compliance function. Applicants must be available to start at short notice (max. 2 weeks). 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·Monitoring all trade transactions·Provide first line trade reporting·Investigate trade errors·Handling trading complaints·Advise on the implications of new trading-related rules, guidance and regulatory requirements·Identify any suspected money laundering activities·Provide training and guidance to the groups regulatory supervisory teamTo be considered for this role, candidates MUST have industry related experience and expert knowledge of stockbroking and trading related regulatory requirements. Must be an investment compliance 'expert’, thoroughly conversant with FCA Rules, knowledgeable of Financial Ombudsman Service and EU Directives affecting the financial service industry and have strong attention to detail.·Assisting in the delivery of compliance surveillance related projects or initiatives·Conducting thorough reviews, including trade, audio and e-comms, for any suspicious behaviour·Strong experience in a Compliance / Trade Surveillance role at a wholesale or professional services firm·Relevant regulatory knowledge·Experience in surveillance of equities and fixed income·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