£85,000 - £90,000
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
- 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.