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Our client, a leading financial institution is looking for a Surveillance Manager to lead and manage a team responsible as the primary function for all audio and electronic communications surveillance applying the risk framework and standards applicable from time to time.
Carry out surveillance and monitoring work with the aim of identifying any attempt by clients of members of staff of the firm to commit financial crime, market abuse, manipulation, or other breach of rules or regulations. The coverage will be LDN activities and increasingly EMEA operations as a triage and support function.
Complete the regular and ad-hoc tasks necessary to complete the monitoring and testing which makes up the department's risk based testing programme.
Assist with the planning and implementation of bespoke or future BAU testing and monitoring programmes and update existing programmes
Assist in the interpretation and analysis of technical business information and/or communications data (using intermediate to advanced excel skills)
Assist in the creation and maintenance of documents and procedures to track all relevant monitoring processes
Prepare relevant management information for internal and external stakeholders
Assist with recommendations and enhancements to existing processes and develop new processes for identifying and monitoring Compliance and Conduct risk
The preferred candidate will ideally have a surveillance background from either a bank or broker/dealer and experience within both trade and e-communications. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to firstname.lastname@example.org or call on +44 20 7430 1831 for a confidential discussion.
Our client is an equal opportunity employer and values diversity at the company. The company does not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
Altus Search Ltd is acting as an employment agency about this role.
Internal Number: 6567741
About Altus Search
eFinancialCareers is a career site specializing in financial services.