Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. . The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.
- Additional duties as assigned
- Has the ability to operate with a limited level of direct supervision.
- Can exercise independence of judgement and autonomy.
- Acts as SME to senior stakeholders and /or other team members.
- Knowledge of Compliance laws, rules, regulations, risks and typologies
- A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
- Excellent research and analytical skills
- Excellent written and verbal communication skills
- Must be a self-starter, flexible, innovative and adaptive
- Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Knowledge in area of focus
Vacancy Type: Full Time
Job Location: London, England
Application Deadline: N/A