Surveillance Monitoring Officer

Rathbone Brothers Plc

Liverpool, GB
On-site
Trade activity review
Best execution assessment
Market abuse detection
Supports the delivery of the surveillance monitoring programme across the Rathbones Group, in line with regulatory requirements and ensures the smooth delivery of said plan to a high standard of quality

Job Summary

  • Supports the delivery of the surveillance monitoring programme across the Rathbones Group, in line with regulatory requirements and ensures the smooth delivery of said plan to a high standard of quality.
  • We offer a comprehensive remuneration package, which we review regularly, and benefits include: A company pension - 9% non-contributory or 10% if you contribute 5% Private medical insurance – Individual on joining, family after 1 year’s service Life assurance - 8 x salary Income protection – 75 % salary Company share scheme Discretionary bonus Flexible holidays – purchase up to 5 additional days Green Car Scheme Family friendly policies – enhanced family leave for parents & carers Study support – study days and funding for courses and qualifications Season travel ticket loans Volunteering days Gym discounts Other voluntary benefits you can choose to suit you.
  • We aim to become an employer of choice for the wealth management sector, to achieve this we are working hard to build a diverse, equal, and inclusive workplace that motivates, develops and embraces the strengths of all our colleagues.

Matching Summary

Supports the delivery of the surveillance monitoring programme across the Rathbones Group, in line with regulatory requirements and ensures the smooth delivery of said plan to a high standard of quality.

Skills & Requirements

Must-have

  • trade activity review
  • best execution assessment
  • market abuse detection
  • LiquidMetrix software
  • communication monitoring
  • regulatory submissions

Nice-to-have

  • investment management industry understanding
  • internal relationship development
  • proactive information sharing
  • industry development awareness
  • collaborative team player

Key Requirements

  • Demonstrable experience in compliance monitoring
  • Knowledge of COBs, MAR, CASS
  • Experience in trade monitoring
  • Experience with Best Execution
  • Experience with Market Abuse

Work Rights

Not specified

Tailored Resume

Cover Letter