eCommunications Surveillance Subject Matter Expert
As part of Elevate’s rapidly expanding business, this role offers the opportunity to develop a career in Investment Banking Compliance.
The primary area of focus for this position is e-Communications and audio Surveillance coverage for the Equities, Fixed Income, Commodities, Futures, Energy and FX Sales & Trading businesses of our Global Investment Bank client to detect market abuse or conduct issues.
Broader responsibilities will include identifying behaviours of concern across all divisions, reviewing surveillance output, conducting data analysis, participating in User Acceptance Testing, acting as an escalation contact and SME to the Global surveillance team and the development of management reporting.
Specifically, you will :
- Screen large volumes of electronic communications and audio calls accurately and effectively applying client’ guidelines on financial crime, market abuse and conduct.
- Participate in 2nd line review and internal Quality Assurance processes.
- Liaise with client teams on escalated cases to improve accuracy and quality of service.
- Work to expand the scope and improve the effectiveness of the current monitoring program.
- Act as the main point of contact and subject matter expert for Sales & Trading surveillance matters and build and take ownership of a program to share knowledge across the Global eSurveillance team.
- Keep up to date with the latest developments in Global financial markets, including Capital Market activity and secondary market trading strategies.
- Anticipate changes to the firm's Sales & Trading activities in response to market events and highlight trends to mitigate any potential future regulatory risks.
- Evaluate the impact of new financial regulation on the firm's Sales & Trading activities and implement appropriate changes to the Surveillance programme.
- Recommend and assist in the implementation of system and procedural changes that would enhance the effectiveness and efficiency of the Surveillance programme.
Experience & Skills Required :
- The ideal candidate will have 5+ years of experience in Sales & Trading, Capital Markets or Investment Bank Operations and have strong regulatory, product and transaction knowledge including FX, Metals, Rates, Credit, Derivatives and Structured Products.
- Good understanding of the FCA/FINRA handbooks and in particular Market Abuse Regulations (MAR), Best Execution and Information Barriers. Previous experience working alongside audit, risk management and compliance functions. CISI Diploma in Investment Compliance or similar preferred.
- Strong technical competency and a pro-active approach to development and implementation of system enhancements.
- Time management skills to manage a busy schedule with conflicting priorities.
- Strong relationship management skills to build partnerships with stakeholders at all levels.
- Good verbal and written communication skills.
- Experience leading a team.
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