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Compliance Monitoring Officer (6mth FTC contract)

  • Location: London
  • Salary: c. £55-60,000 pro rata
  • Job type: Contract/Temp
  • Job reference: PWH/168927
  • Sector: Banking , other Financial Services , Interim
Job Description

Our client is a global capital markets firm, seeking an interim compliance officer to undertake monitoring and surveillance of trading activities across the business.


Key responsibilities:

  • Compliance monitoring and surveillance of trading activities.


  • Undertake follow up, forensic analysis of alerts generated by trade/order/communication surveillance systems.


  • Execute controls as per Compliance Controls Framework.


  • Investigations as directed by Compliance Monitoring Manager.


  • Coordinate requests for information from regulatory authorities and exchanges.


  • Contribute to the ongoing upkeep of Compliance monitoring procedures and documentation.


  • Execute monthly tasks such as block trade reviews, call monitoring and regular information submissions to Regulators.


  • Support the ongoing development of Compliance systems.


  • Assist with quality assurance controls on monitoring & surveillance activities.


  • Fulfil any additional / ad-hoc duties as required to meet the needs of the business.


You will be an experienced compliance officer with a background within capital markets: investment banking, brokerage, spread-betting, consulting etc.  You will have a good knowledge of relevant FCA, EC, EMEA regulations and industry standards.

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