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Communications Monitoring Compliance

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

Communications Monitoring

London

Investment Bank

£80,000

Underneath the Head of Markets Assurance are 4 teams
Public side (markets sales )
Private side banking capital markets
Surveillance
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.

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