As a Surveillance Analyst with our client, it will give you the opportunity to focus on the Surveillance and Control Room programme and associated legal and regulatory requirements, firm policies and industry best practices. Being Surveillance Analyst means you will be required to work closely with various teams across the bank that cover Surveillance and Control Room activities.
Our client is one of the world's largest and most respected financial institutions, with hundreds years of success, quality and innovation behind them. They offer careers that provide endless opportunity - helping millions of individuals and businesses thrive, and creating financial and digital solutions that the world now takes for granted.
What will you be doing?
- 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
What we're looking for:
- University degree or relevant experience (e.g. Surveillance or Compliance experience in an Investment Bank
- Keen interest in financial services and conduct requirements as well as an understanding of the regulatory environment
- Sound understanding of regulation pertaining to market abuse and working knowledge of using mainstream Surveillance systems
Skills that will help you in the role:
- Ability to multi-task and manage projects whilst completing daily tasks and responsibilities
- Confident, have excellent communication skills and be a team player
- Exercise sound judgement with an understanding of effective escalation of risk
- Exceptional MS Excel skills