Accessibility Links

Communications Monitoring Compliance

  • Location: London
  • Salary: £80,000
  • Job type: Permanent
  • Job reference: NE168528
  • Sector: Banking
Job Description

Communications Monitoring


Investment Bank


Underneath the Head of Markets Assurance are 4 teams
Public side (markets sales )
Private side banking capital markets
Financial crime testing team
This role will sit outside this structure and provide a communications "detective" function. You must be a communications surveillance SME but also have an overarching view to talk about strategy and also direct the deep dive review teams.

Role profile
As a member of the CA&T team, you will provide the following services to the department:
Act as a role model and subject matter expert for the team in the performance of communications monitoring based reviews and testing for all EMEA offices.
Manage the delivery of a communications monitoring triage function, escalate issues on a timely basis and collaborate with your peers and other Compliance teams to support and facilitate any targeted reviews, surveillance and investigations work performed by the other teams
Carry out 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.  
Complete the regular and ad-hoc tasks necessary to complete monitoring, testing and other work which makes up the department’s risk based testing programme.  
Carry out quality assurance monitoring of the monitoring team’s processes and practices to provide senior Compliance management with confidence that necessary tasks are being delivered satisfactorily.  
Participate in departmental compliance and conduct risk assessment exercises to help direct the work of the department.

Similar jobs
Head of Compliance
  • Location London
  • Salary £90,000 - £100,000
  • Job type Permanent
  • Sector Banking , other Financial Services
  • Description My client is a unique lender based in Central London in that they provide lending solutions to assist those with legal divorce costs. They are looking to build the compliance function further due to
Global Risk Review and Monitoring Manager
  • Location Canary Wharf
  • Salary £80,000 - £110,000
  • Job type Permanent
  • Sector Banking , Banking
  • Description Investment bank is looking for an internal audit big 4 consultant who is looking to move to Compliance.
Compliance Advisory
  • Location London
  • Salary £90,000
  • Job type Permanent
  • Sector Banking , other Financial Services
  • Description brokerage seeking a markets compliance advisory officer
Compliance Officer
  • Location City of London
  • Salary £65,000 - £75,000
  • Job type Permanent
  • Sector Banking
  • Description Fintech bank is looking for a payments compliance officer with broad regulatory understanding.
Related news