Accessibility Links

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.

Similar jobs
Credit Risk Manager
  • Location London
  • Salary £450 per day
  • Job type None specified
  • Sector Banking, Interim
  • Description I am working with a banking client of mine based in the City of London in their search for a contract Credit Risk Manager to focus upon Trade and Commodity Finance.
Interim Legal Counsel
  • Location London
  • Salary c. Daily rate
  • Job type Contract/Temp
  • Sector Banking, Interim
  • Description My client are a well-known investment bank and they are looking to hire an interim Legal Counsel for their London based offices for a period of c. 8 months – there is a possibility that the contract
Interim Legal Counsel
  • Location London
  • Salary Daily rate
  • Job type Contract/Temp
  • Sector Interim, Other Financial Services
  • Description My client is a Fintech company and they are looking to hire a junior interim Legal Counsel for their Central London based offices for an initial period of c. 3 months with a view that the role could
Security Operations Analyst
  • Location Surrey
  • Salary £Contract Daily Rate
  • Job type Contract/Temp
  • Sector Cyber Security, Information Security , Interim
  • Description My client, a multinational financial services firm, are recruiting a 6-month contract for a SOC Analyst. Alongside your experience of day-to-day triage & response activities
Related news