An excellent opportunity to work in a high profile, visable compliance role for a top tier investment bank, which has an extensive and reputable global presence.
Your responsibilities will include the following: • Managing a medium sized team responsible for the surveillance and monitoring of all EU Sales and Trading. • Advisory coverage to the institutional cross products divisions. •Responding to FSA and other regulatory enquiries as well as dealing with Exchanges and answering their queries. • Responding to internal enquiries relating to potential compliance risks identified by advisory compliance officers. • Using internal and external systems data sources for research. • Electronic surveillance of transactions, utilising alert based reports. • Heading up various value add projects reporting into the head of Compliance • Participate and lead internal and external surveillance and monitoring discussions • Training
Who we're looking for • Educated to degree level preferable and relevant professional qualifications an advantage. • Equity, Fixed Income and/ or Commodities product knowledge an advantage. • Management track record ideal. • Proven track record of working in a relevant compliance role for reputable financial institution, including knowledge of surveillance systems. • Excellent communication skills. • Strong analytical ability. • An ability to quickly understand complex trading activities and business areas. • Presentable and articulate. • Resilient, determined and hardworking.
• Assisting with the testing of external monitoring systems.
A
trade automation, connectivity and compliance solution, the SunGard
Transaction Network (STN) links institutions throughout the financial
services community to facilitate end-to-end transaction processing.
With
more than 4,500 client firms in 60 countries managing more than $12
trillion, Advent has established itself as a leading provider of
mission-critical applications for investment management operations of
all sizes and strategies.
QUMAS
is a global compliance software company offering a complete Enterprise
Governance, Risk and Compliance solution with over 250 customer
deployments.
Belzberg
Technologies has been at the forefront of the electronic trading
evolution from the very beginning, and continues to provide world-class
service, execution and technology to the securities industry.
