Oliver James are currently engaged with a leading Corporate Banking client of ours for to appoint a Trade Surveillance Analyst into the business.
This is a unique opportunity for a junior candidate with 1-2 years professional experience within Financial services to join a high growth organisation and develop their career within a compliance function with a clearly defined career path.
The successful candidate can expect a varied and exciting day to day which will look like but not be limtied to the following;
* Identifying and escalating potential breaches of regulatory rules such as MAR, firm policies and the misuse of MNPI
* Assisting with the development, drafting and integration of processes and procedures
* Keeping up to date with changes to regional rules and regulations; and material regulatory developments that directly impact surveillance obligations
* Escalating perceived impacts for consideration
* Assisting with performing business and thematic investigations that proactively detect potentially suspicious business activity and business / employee conduct risk
* Liaising regularly with other Compliance and Risk areas, including the other Global Surveillance functions, Product Compliance and other areas as required
* Assisting in responding to audits, regulatory enquiries, examinations and investigations, and liaising with regulators as required
* Designing and developing complex surveillance models and enhancement of existing models
This opportunity will suit a candidate with 1-2 years professional experience within Financial Services/Insurance.
If you would like to be considered for the position, please click the apply button below.
