SENIOR COMPLIANCE OFFICER-MONITORING / CONTROL ROOM (VR/01729)
Job Description:
- Manage the Corporate Banking and Global Financial Markets front office areas
- Co-ordination with Head Office in respect of all aspects / issues
- Manage the relationship between Monitoring, Risk Management and Governance divisions
- Oversee the professional development of the monitoring team
- Authorised signatory for transaction approvals and reviews for the Branch on behalf of Compliance
- Submit Suspicious Activity Reports to Regulatory Authorities
Job requirements:
- Manage and direct the resources of the Branch's Monitoring function and activities to meet its obligations
- Establish, implement and oversee the Branch’s thematic and risk-based Compliance Monitoring Programme and daily Trade Surveillance Function
- Enhance and oversee routine daily Compliance Monitoring
- Ensure that all Compliance risks identified in the CRAs are monitored accordingly and provide MI relating to the risks
- Escalate issues and participate in investigations as required
- Participate in the Branch’s BCP as it relates to Monitoring
- Input into monitoring aspects of Annual Compliance Plan
- Maintain the Market Abuse Risk Assessment for the Branch Key relationships, both internal and external
Manage, develop and supervise the Monitoring team - Assist/co-ordinate with and support the Global Compliance function as it relates to monitoring
- Co-ordinate Monitoring initiatives and liaise with the global compliance function, this includes escalating critical compliance risks or issues
- Co-ordinate the dissemination of any global monitoring strategy within the Branch
- Promote the Monitoring function throughout the Branch
- Ensure regulatory change is accounted for and implemented as it relates to the Monitoring function
- Participate in and/or co-ordinate any projects directed by the Head of Compliance
Experience required:
- Extensive experience of trade surveillance (and related systems), investigations and the FSAs STR regime
- Knowledge of capital markets and derivatives - structured products
- Management experience
- Multi-asset class expertise
- Front office experience and a strong academic background
Apply for this job now?
Please contact Bruce Wheelan by either emailing bruce@jj-associates.co.uk or phoning +44 20 7623 1122