• 26 August 2010
• Reference: JR213644

• Head of Compliance Monitoring

• City of London Competitive Permanent

Our client is a pre-eminent global financial services institution . This position will report to the Director of Compliance, Europe and Asia .

Key responsibilities:
Ensure that the Compliance monitoring programme is delivered within agreed timescales
To carry out necessary investigative work associated with internal and external requests for information on the activities of individuals
Take ownership for advising the various businesses with regards transaction reporting obligations and monitoring compliance with those obligations
To identify differences in patterns of behaviour arising across the wide range of businesses covered and determine any regulatory breaches and progress appropriate follow up action
Investigate any internal reporting of suspicious activity
Collate, analyse and produce conclusions from the monitoring and surveillance activities of the department in order that current risks within the businesses are reflected within the monitoring plan
Liaise with Central Compliance on monitoring related issues particularly with respect to p.a. dealings and AML/CTF/Sanctions related issues
Undertake desk reviews and prepare findings on a timely basis for consideration by the Head of Compliance
Provide general assistance to the Head of Compliance as required
Undertake thematic reviews across all businesses as determined
Undertake configured and customised Bloomberg searches. Capture; display & manage search results & audit search results for possible policy violations thereby controlling & auditing user behaviour across the Bloomberg terminal deployment.
Retrieve, monitor and analyse captured data producing summarised results of the findings in response to regulatory enquiries
Undertake spreadsheet based surveillance work focusing on particular areas identified through the ongoing compliance risk based framework. Particular focus will be with respect to potential market abuse activities.
Development and provision of routine management information showing trends and highlighting areas of concern which will be used as part of the monthly reports to the Management Committee
Be the main point of contact between Compliance and IT for Compliance/IT related contracts

Skills/experience required:
Systems understanding
Compliance monitoring experience preferably covering a full product range
Good knowledge of FSA and exchange rules
Full understanding of market abuse risks
Clear understanding as to the different approaches and sensitivities which may be required for wholesale activities in identifying and dealing with suspicious activity
Articulate issues in a clear and concise manner whilst ensuring a commercial approach is maintained
Knowledge of overseas regulations desired

Contact Fergus Hooley

Joslin Rowe - Winner of 4 UK Recruiter Awards including Best Accountancy/Financial Recruitment Firm and Best Office Support Agency.
Joslin Rowe is a Randstad company. Joslin Rowe Associates Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK. Joslin Rowe Associates Ltd is acting as an Employment Agency in relation to this vacancy.

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Keywords related to this job

• Compliance,
• Monitoring / Surveillance / Testing,
• City of London,
• Permanent,
• Stockbroking,
• monitoring