• 10 December 2008
• Reference: JR205559

• Surveillance Officer

• City of London Excellent Permanent
• Benefits: excellent

A high-calibre, extensively-experienced Compliance Surveillance professional is required for an Assistant Vice President role within global markets and investment banking of an eminent private wealth manager.

Based in London, the surveillance team is a small team within compliance that is responsible for conducting daily surveillance across the firm's trading activities within the EMEA region.

Key responsibilities will focus upon reviewing and following up surveillance alerts generated by in-house surveillance systems. You will be working with product compliance to help with responses to FSA and other regulatory enquiries. You will also be conducting analysis and creating bespoke reports in response to internal compliance enquiries.

Exposure to fixed income and equities is highly beneficial, preferably within a similar environment (e.g. Investment bank, securities exchange, regulator). You will demonstrate good understanding of EMEA market abuse rules and regulatory surveillance requirements.

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Keywords related to this job

• Compliance,
• Monitoring / Surveillance / Testing,
• City of London,
• Permanent,
• Private Wealth Management,
• survelliance,
• compliance,
• trading,
• brokers,
• regulatory