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Job Specification

AVP TRADE SURVEILLANCE - PREVIOUS WHOLESALE MARKETS SURVEILLANCE EXPERIENCE & GOOD PRODUCT KNOWLEDGE REQUIRED

£ Market Rate + Bonus & Good Benefits | City
Ref: 3783D

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our client, a leading International Banking Group, is looking to recruit a new Assistant Vice President to its team. Duties will include; 

  • Reviewing and analyzing surveillance alerts and/or reports relating to firm, employee and client trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately. 
  • Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies. Additionally, supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel. 
  • Assisting with the design and implementation and calibration of new surveillances as well as the refinement of existing ones. Interacting with IT and Systems teams on the specific design and testing of new surveillances. 
  • Carrying out e-communications surveillance and formulating appropriate policies. 
  • Preparing relevant MI to internal stakeholders. 
  • Additional duties as assigned, including to support any conduct related risk framework. 
  • Acts as SME to senior stakeholders and /or other team members. 
  • Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to policies, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. 

You must have several years' experience in Compliance of which at least two must have been in a similar trade surveillance role in the wholesale markets. You should also have a strong product knowledge of some of FX, Fixed Income, Commodities or Precious Metals with a good knowledge of the underlying Compliance regulations & risks.    

So, if that sounds like you, then please send your details to our MD, David Symes FCA, at david@compliancerecruitment.com (including a contact no) however please note due to COVID-19 we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission). 

 

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to thisrole. 

The recruiter has stated that all applicants for this job should be able to prove that they are legallyentitled to work in the UK. Through application, all candidates signify their acceptance of the aboveinformation and confirm that theinformation they provide is true and accurate to the best of theirknowledge 

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