Surveillance Officer
Posted 7 days ago by Black Swan Group
Negotiable
Undetermined
Undetermined
Greater London, England, United Kingdom
Summary: The Surveillance Officer role at a global investment bank involves overseeing compliance within the markets surveillance function. Key responsibilities include daily trading surveillance, investigating market abuse, and improving systems and processes. The position requires strong communication skills and experience in financial services, particularly in equities markets. The successful candidate will also produce and analyze compliance reports.
Key Responsibilities:
- Assist in performing daily surveillance of trading to ensure compliance with relevant regulations
- Investigate potential instances of market abuse and rule breaches, producing detailed reports
- Play an important part in the delivery of various initiatives across surveillance, including system testing and implementation
- Help improve current systems and processes
- Act as the point of contact for policies and procedures impacting the surveillance space
- Produce and analyze reports
Key Skills:
- Demonstrated experience in the surveillance function of a financial services firm, preferably with equities markets
- Working knowledge of relevant FCA rules and regulations
- Experience in surveillance project delivery
- Strong attention to detail
- Excellent verbal and written communication skills
Salary (Rate): undetermined
City: Greater London
Country: United Kingdom
Working Arrangements: undetermined
IR35 Status: undetermined
Seniority Level: undetermined
Industry: Other
Surveillance Compliance
Our client is a global investment bank, who are seeking a compliance professional to take on a position in the firm’s markets surveillance function.
Your responsibilities will include:
- Assist in performing daily surveillance of trading to ensure compliance with relevant regulations
- Investigating potential instance of market abuse and rule breaches and product detailed reports highlighting the abusive behaviour
- Play an important part in delivery of a variety of initiatives across surveillance i.e. system testing and implementation
- Help improve current systems and processes.
- Be the point of contact for policies and procedures that impact the surveillance space
- Produce and analyse reports
As a successful applicant you will have:
- Demonstrated experience in the surveillance function of a financial services firm, preferably with experience of the equities markets
- A working knowledge of the relevant FCA rules and regulations.
- Experience in surveillance project delivery.
- Strong attention to detail.
- Have excellent communication skills both verbal and written.
For more information or to apply, please contact the compliance team on 020 33015821 or ben.hudson@blackswangroup.com