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The role will assist the surveillance team in developing existing surveillance tests, and establishing new tests. This will include consideration of risks, the methodologies required to enable the effective identification of investment and trading risks, and the interpretation of findings.
The job holder will be someone who has:
Worked in an asset management firm in the Monitoring and Surveillance function,
Gained experience of setting and running surveillance tests to identify investment desk and trading risks and issues.
Good experience in interpreting findings and communicating these to the business and management.
Strong understanding of FCA principles and rules
Excellent trade sureveillance knowledge, mainly around transactions, comms and products
Managerial experience is preferable
Morgan McKinley is acting as an Employment Business in relation to this vacancy.
Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.