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Surveillance Director

  • Location: London
  • Salary: neg
  • Job type: Permanent
  • Job reference: NE167297
  • Sector: Banking
Job Description

Surveillance Director 

Investment Bank based in the city

General responsibilities include:

  • Overseeing and assisting with surveillance and monitoring of business, systems and controls as required.

  • Performing reviews of compliance with specific regulations, as directed by the Senior Managing Director or Managing Director of Compliance.  The job holder has a key role in identifying problems and potential weaknesses from monitoring activities and developing recommendations for management.

  • Dealing with general regulatory queries from staff (where appropriate, discussing the issues with other department members before responding).

  • Managing and supporting the Surveillance team (3 FTE) and ensuring all relevant matters are reviewed and escalated/remediated as appropriate.

  • Providing general assistance and support to the department.

Specific responsibilities include:

  • Ensuring surveillance/ monitoring activities undertaken by the Company are adequate and fit for purpose.

  • Proactively identifying gaps and weaknesses in surveillance/ monitoring activity and actively seeking to address them.

  • Undertaking specific compliance surveillance monitoring work covering the main regulations which apply to the Company’s business including:

    • transaction surveillance, including transactions in watchlist entities, unusual transactions and front running research, for possible market abuse and other inappropriate conduct

    • review of front office communications for inappropriate conduct or possible market abuse

    • conflicts of interest

    • relevant short sell regulations

    • account opening and account reviews

  • Maintaining the restricted dealing list and watchlist to ensure they are kept up to date, including undertaking conflicts of interest checks.

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