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Senior Compliance Officer – Market Abuse

  • Location

    London

  • Discipline:

    Financial Crime & Fraud

  • Job type:

    Permanent

  • Salary:

    £85,000 - £90,000

  • Consultant:

    Pritesh Chudasama

  • Email:

    pchudasama@merje.com

  • Job ref:

    PCH/17729

  • Published:

    7 days ago

Senior Compliance Officer required for a Corporate Investment Bank.

 

You will be focusing on the Market Abuse Framework Assessment, verification of the 1st Level-Control Environment, Quality Assurance Program and the Model Review Program.

 

This consists of, but not limited to:

  • Working with IT to ensure the framework is adequate and allows for proper market abuse risk management
  • Ensure that controls performed by 1LOD/2LOD are effectively designed, performed in line with their description in the operational procedures, and adequately documented audit trail.
  • Conduct targeted reviews on trade and e-Comm surveillance related to market abuse carried out by 1LOD and 2LOD to assess and review compliance with legal, regulatory and internal Bank policy requirements
  • Anticipate regulatory requirements exemplified in regulatory actions and guidance and ensure the requirements are met within Surveillance teams
  • Lead working groups that focus on enhancing controls/quality of the trade and e-Comm surveillance program
  • Drive the institution of a culture of excellence with regard to staff development and performance.

 

Verifications will cover:

  • Thresholds and Exclusion lists reviews
  • Audit trail on thresholds and exclusions amendments
  • Regularity/availability of E-Communication channels inventory
  • The regularity of monitored population reviews and adjustment
  • Regularity / Integrity of data feeds (in coordination with GM IT)
  • Consistency and adequacy of keywords reviews
  • Regularity and adequacy of user access reviews
  • Regularity and adequacy of Multi Firms Chatrooms controls

 

Required skills/knowledge/experience:

  • Securities Exchange Listed option exchange, Commodity Exchange and future exchange rules
  • European regulation on Market Abuse, MAD MAR, MiFid 2
  • Corporate Investment Banking experience
  • Muli-Asset class experience

 

The employer has an excellent compliance culture descending from senior management, a positive reputation for work-life balance, high bonuses and an extremely competitive benefits package. There will also be the ability to work from home occasionally.