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Undertake Trade Surveillance using the firm's monitoring tools as directed by management.
Support the collation and development of Management Information.
Support the implementation and enhancement of surveillance approaches and /or strategic solutions to meet review requirements.
Maintain and monitor a referential of remedial actions/recommendations arising from trade monitoring and ensure timely and satisfactory resolution of issues identified.
Liaison with Advisory Compliance officers and other key stakeholders and synergies regarding key topics
Assisting in regulatory and internal investigations as appropriate.
Proactive and timely escalation of issues to management
Maintaining awareness of key EU / FCA regulatory rules and updates. And where applicable transposing them into the trade surveillance program.
Participation in departmental and team meetings as required
Attendance at relevant industry and trade association seminars
The role involves autonomy on a day to day basis to perform directed BAU - which involves active liaison with the team and management. The priority of the role is to ensure BAU remains fit for purpose and where applicable, raise queries and escalations to management and other key stakeholders accordingly, ensuring the aforementioned are resolved accordingly to protocol.
To be successful in this role, the candidate must have:
0-5 years of relevant experience or qualifications
A keenness to work in a regulatory risk management department.
A keen interest and a good understanding of existing and technology
A quick learner – keen to understand regulation, markets and internal/external technology solutions
A generalist understanding of how private and public sides of the Financial Industry operate would be advantageous
Highly analytical approach in regard to performed surveillance, supported by accurate record keeping and ability to manage and prioritise multiple review requirements.
Respect for highly sensitive information
A team player
Someone with an innovative mindset – who can think 'outside of the box' but collectively, understands standard BAU.
My client is looking to interview ASAP. Apply now, for more information.