about the company
Our client is a Corporate & Institutional Bank looking to recruit for a Conduct Surveillance Officer at the VP level positioned within the business acting as the First Line of Defence (1LOD). This would play a critical role in ensuring the business is adhering to all relevant rules and regulations.
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about the job
- Responsible for the monitoring of front office activity through the surveillance of trades, electronic & voice Communications
- Performing investigations into suspicious activity
- Managing potential breaches and ensuring they are escalated through proper channels to management and/or Compliance
- Perform accurate documentation and record of the investigation results for audit purposes; close coordination with internal or external audit teams in reviewing activity
- Provide support, expertise and advisory to business and compliance where necessary
skills and experience required
- Bachelor's Degree from a reputable institution
- Relevant expeirence in financial markets either from the Front Office (Sales/Trading/ Investment Banking), Middle Office, or related Control, Audit, Compliance background
- Strong understanding of financial markets products across FX, Rates, Credit, Commodities
- Good understanding of Conduct risk and market misconduct concepts
- Familiarity with basic coding, python, data analytics will be advantageous
To apply online please use the 'apply' function, alternatively you may contact at .
(EA: 94C3609/ )