Market Surveillance Auditor – Derivatives
Title: Market Surveillance Auditor – Derivatives
Date: 11th June 2018
Our client, a leading derivatives exchange is looking for an Auditor to provide advice, guidance and support to their Market Surveillance team. The individual would help to develop and maintain regulatory standards to enhance and protect the reputation of the firm.
- Execute both Internal and External Compliance with keeping track of all incoming regulatory requests and administer appropriate compliance policies and procedures.
- Provide detailed compliance advice and guidance in relation to existing and new business initiatives.
- Assist in managing the relationship with the regulatory authorities as appropriate.
- Advise management in carrying out Audit services and activities.
- Ensure that the business maintains the requisite regulatory standards by following internal policies and external UK and overseas regulatory guidelines.
- Monitor changes in business practices and products to ensure that compliance procedures and controls are adequate to cover them.
- Preparation of regulatory filings.
- Ensure that compliance systems and controls are up-to-date and effective.
- Manage data protection of the company.
- Planning and execution of the Audit Programme.
The preferred candidate will ideally have derivatives background as well as an investment bank, exchange or clearing house. 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 in the company. The company does not discriminate by race, religion, colour, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status.
Altus Search Ltd is acting as an employment agency in relation to this role.
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