Surveillance Compliance Officer
3 weeks ago
Description
You will be part of our Birmingham compliance surveillance team performing Trade Surveillance, Communications Surveillance and Information Barriers Surveillance across Corporate & Investment Banking. The role involves participating in Surveillance projects to enhance the effectiveness or efficiency of surveillance.
Key Responsibilities
- Review and investigation of surveillance alerts and escalations in a timely manner, taking any necessary action for Trading, Communications and Information Barriers Surveillance.
- Developing methodologies to identify, monitor and test areas of compliance risk whilst building and fostering close relationships with stakeholders.
- Working with Compliance Information Technology in the preparation and User Acceptance Testing of new models, amendments to existing to ensure effectiveness and coverage of alerts.
Requirements
- Specific surveillance, trading or middle office experience covering a variety of financial products is beneficial.
- Compliance/regulatory experience would be beneficial.
- Excellent presentation skills, both oral and written.
- The ability to explain complex concepts in simple and easy to understand way.
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