Compliance Officer (Markets Compliance)
- BBBH791751 Aug 31, 2021 Competitive
Morgan McKinley is working with major commercial European Bank looking for a Compliance Officer (Trade Surveillance). You would be sitting with the Trading team.
You would be sitting with the Trading team to provide oversight to trade and communications surveillance programs.
- Responsible for surveillance projects, implementation and UAT
- Providing oversight to the trade and communications program, investigating alerts and potential misconduct automated surveillance systems
- Fine tuning and test the system to improve quality of alerts and detection
- Work with senior Markets Compliance colleagues to investigate, escalate and document the case
- Contributing to monthly management reporting and surveillance statistics
- Interaction with Front Office sales and traders and other parts of the bank
- Provide training and guidance for other colleagues on usage of systems
- Updating of related policies and procedures
- Ability to identify key issues and escalate them in a timely manner
- Ad-hoc projects when assigned
The Ideal Candidate:
- Bachelor's Degree; preferably in Banking and Finance
- 1- 5 years experience in markets compliance, with understanding of banking act, securities and futures act, bluebook, FX global code of conduct and other MAS notices and guidelines
- Comfortable with technology and system changes/implementation/testing
- Trade and communication surveillance experience, Personal Account Dealing (PAD) controls and monitoring of PAD activities
- Outsourcing experience
- Good communicator and team player
If you are keen on this exciting opportunity, kindly 'Apply Now' or email email@example.com
Referrals are greatly appreciated.
Daryl Pravin Naidu
EA Licence No: 11C5502 | EAP Registration No: R2199043
Only shortlisted candidates will be responded to. If you do not receive a response within 14 days, please accept this as a notification that you have not been shortlisted.
Associate Consultant | Banking Operations Recruitment
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