COMPLIANCE MONITORING – TRADE SURVEILLANCE
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| Job Type | Permanent |
| Area | City, UK |
| Sector | Compliance |
| Salary | £Excellent + bens + bonus |
| Currency | GBP |
| Start Date | |
| Job Ref | 12 |
| Job Views | 289 |
- Description
- A leading Investment Management group based in Central London is looking for a Compliance Analyst (Trade Surveillance). This is a 2nd line of defence position that sits in the Compliance & Risk function, responsible for ensuring that the Group is operating in Compliance with applicable regulation, policies and procedures which is conducted through a range of thematic reviews, regular monitoring and surveillance. The successful candidate will assist in carrying out regular compliance monitoring and with a focus on Market Abuse and Communications surveillance.
Responsibilities –
- Contribute to delivery and implementation of the Group Compliance Monitoring Plan.
- Conduct regular compliance monitoring, with a focus on Market Abuse and Communications surveillance.
- Review of first line monitoring of best execution, timely execution, aggregation and allocation.
- Escalate any significant issues, weaknesses or outstanding action items to Senior Management.
- Review compliance alerts and escalate as appropriate
Applicants will ideally be educated to degree level and have previous experience within a monitoring/reviewing/auditing role. The nature of the work requires someone with a good understanding of the Investment / Asset Management industry.