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Assist in developing and maintaining a risk-based electronic and voice surveillance programme, which addresses relevant regulatory and exchange requirements, and support the day to day oversight of communications surveillance
Role Definition and General Responsibilities
The Electronic and Voice Communications Surveillance Compliance Officer for EMEA Compliance will provide an appropriate level of support to the EMEA Head of Surveillance and the various teams/colleagues within the Compliance function for the following:
Support the enhancement of the surveillance framework, including governance, quality assurance, models, risk assessment, procedural, MI and training
Support an external review of assessing the current state of surveillance and any remediating actions
Manage the EMEA Compliance department's electronic and voice communications surveillance function including:
Overseeing the day to day management of electronic and voice based surveillance activities
Reviewing escalated incidents and deciding on the appropriate course of action
Taking a proactive approach to systems enhancement and development
Assisting with aligned surveillance and ad-hoc investigations
Holistic risk monitoring;
Providing leadership and day to day management to the EMEA Communications surveillance team as well as coordinating the off-shoring of communication surveillance tasks to Powai.
Ensure that surveillance activities are undertaken according to agreed procedures and frameworks. Making sure escalation processes are followed and all issues are escalated and closed out in a timely manner.
Work with the EMEA Head of Surveillance to identify key areas or risk and ensure that electronic communication and voice surveillance functionality is properly aligned to the business.
Provide any relevant voice or electronic communication supporting evidence to the Money Laundering Reporting Officer (MLRO) in the event of any suspicious trading activity identified through existing surveillance tasks;
Assist in regulatory or internal investigations as assigned by the Deputy Head of Compliance or Head of Surveillance;
Work with Compliance IT to support the development and implementation of new the voice surveillance programme;
Work with other surveillance teams to help develop and implement a holistic risk monitoring methodology and process;
Consider new or enhanced monitoring and surveillance activities that address the changing business structure and ensure that a robust approach is taken to mitigate business risk.
Ensure the MA surveillance team have clear objectives in place that align performance to the firm's strategy and manage performance in line with these objectives.
Support the EMEA Head of Monitoring & Surveillance in the maintenance of appropriate controls over any functions off-shored to Powai and help assess on an ongoing basis whether such services continue to be suitable and competent.
Oversee alerts arising from the firm's MA surveillance systems, ensuring that adequate escalation and follow up is undertaken with the appropriate business and/or advisory Compliance on a timely basis.
Operate as an effective member of the compliance department and engage with Compliance colleagues to help facilitate a coordinated approach to E-Comms and Voice surveillance matters across the region;
Work with regional offices to ensure appropriate e-comms and voice surveillance coverage is in line with local risk profiles and regulatory/exchange requirements.
Provision of assistance to the EMEA Head of Monitoring & Surveillance to help coordinate the EMEA Compliance department's delivery of periodic management information and performance and risk metrics;
Skills & Resources
Maintain a detailed working knowledge of key EU /UK regulatory rules and regulations as well as a broad awareness of capital markets activities;
Maintain an awareness of key EU / UK regulatory updates and their impact on the existing electronic and voice surveillance programmes;
Possess a good technical understanding of key e-comms surveillance systems including Clearwell and CA Dataminder (previously Orchestria);
Regularly attend courses and seminars to keep up to date with regulatory, market and product developments; and
Understand and keep up to date with the firm's business, products and the regulatory and commercial environment in which it operates to ensure that appropriate compliance processes are implemented.
Candidate should have at least 5 years monitoring and surveillance or relevant exchange experience;
Experience of QA operating within a second line oversight function
Good understanding of the FCA handbook and in particular specific market conduct rules;
Ideally the candidate should have previous experience of using e-comms surveillance systems such as Clearwell or Dataminder; and
Good presentation and report writing skills.
Internal Number: 5070290
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