Surveillance Manager – Investment Banking

5 days left

Altus Search
08 Jun 2018
24 Jun 2018
Contract Type
Full Time

Ref: 841ASI

Title: Surveillance Manager – Investment Banking

Location: London

Salary: Attractive

Date:  8th June 2018

Our client, a leading investment bank is looking for a Surveillance Manager to join their team and help in ensuring that the business meets its regulatory obligations. The individual would also help in identifying and mitigating risks across the business, e-communications and help promote a proactive regulatory culture.

Duties Include:

  • Conduct reviews and investigation of the alerts and exceptions that have been generated by the global trade surveillance systems and reports.
  • Oversee potential market abuse and other breaches identified from surveillance activity.
  • Helping with assessing alerts on trade surveillance systems and investigating incidents arising from the business.
  • Help to review existing monitoring e-communications controls and assisting with the enhancements to these processes and systems, to mitigate against market abuse and breaches of conduct of business rules.
  • Ensure that alerts are closed in a timely manner and where necessary carrying out further analysis.
  • Assist with continuous refinement of trade surveillance risk and controls assessment.
  • Assist market conduct team members with the delivery of regulatory position/trading disclosures.
  • Develop effective relationships and networks within the global e-communications compliance function.

The preferred candidate will ideally have a surveillance background from either a bank or broker/dealer and experience within both trade and e-communications. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.

If you are interested in this opportunity, please email your C.V. or call on +44 20 7430 1831 for a confidential discussion.

Our client is an equal opportunity employer and values diversity at the company. The company does not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.

Altus Search Ltd is acting as an employment agency about this role.

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