Compliance Surveillance Specialist

Robert Walters Plc
26000.00 - 56000.00 GBP Annual
19 Jun 2017
27 Jun 2017
Contract Type
A Compliance Surveillance Specialist is sought to join a global leader in Financial Services in their Birmingham office.

As the appointed Compliance Surveillance Specialist you will be part of a team which performs a variety of surveillance tasks with respect to the Bank's European trading operations. You'll represent Europe, Middle East, Africa (EMEA) Surveillance in global Communication initiatives and projects including implementing the expansion of eComms surveillance activities, new models, new products, financial exchanges and jurisdictions, as well as other enhancements to the effectiveness or efficiency of surveillance.

Key Responsibilities of the Compliance Surveillance Specialist

* Direct involvement in expansion of the communication activities

* Review and investigate surveillance alerts and escalations in a timely manner, taking any necessary action for trading, communications and information barriers surveillance
* Ensuring reviews, testing, new platform and system testing and User Acceptance Testing
* Act as a key participant in the compliance planning strategy meetings and being responsible for delivering parts of that strategy
* Ensure consistent delivery and adherence to service levels
* Develop your product knowledge and understanding in trading methodologies
* Review alerts on trading, emails and other communications for potential breaches of laws, regulations and internal policies
* Follow and improve procedures to identify and resolve compliance issues and escalate compliance breaches for further investigation and action
* Understand high-complex processes including making judgement calls which require strong interpretation skills
* Develop methodologies to identify, monitor and test areas of compliance risk
* Building and fostering close relationships with Stakeholders
* Carrying out staff development, performance management and succession planning activities
* Supporting the team with day-to-day operational issues
* Conducting ad-hoc management information reporting and project work
* Working with Compliance Information Technology (IT), in the preparation and user acceptance testing of new models and amendments to existing ones to ensure the effectiveness and coverage of alerts
* Supporting and developing staff involved in the surveillance processes, to ensure the effective and efficient operation of surveillance activities

Key Skills, Requirements and Experience

* Previous experience gained within a large scale financial services organisation is essential
* Banking experience is highly advantageous
* Strong analytical and organisational skills
* Some previous experience of conducting investigations
* Experience with investment banking products
* Surveillance or trading experience covering a variety of financial products
* Compliance and regulatory experience

This is an exceptional opportunity to join a global organisation who offer outstanding personal and professional development opportunities who are experiences a positive period of growth.

For more information please contact Laura Woodhead at [Email address removed]