The role is responsible for performing second‑line investment compliance oversight, including daily post‑trade monitoring, rule‑coding accuracy checks, breach escalation, and market‑abuse surveillance
Job Summary
The role is responsible for performing second‑line investment compliance oversight, including daily post‑trade monitoring, rule‑coding accuracy checks, breach escalation, and market‑abuse surveillance.
It also administers Personal Dealing compliance, conducts monitoring and assurance reviews under the annual compliance plan, and performs e‑communication surveillance for potential misconduct.
We believe in empowering every one of our people to find their 'better' - in the work they do, the career they build, the life they live and the difference they make.
Matching Summary
The role is responsible for performing second‑line investment compliance oversight, including daily post‑trade monitoring, rule‑coding accuracy checks, breach escalation, and market‑abuse surveillance.
Skills & Requirements
Must-have
Post-trade compliance monitoring
Personal Dealing compliance
E-communication surveillance
Market abuse surveillance
Investment guidelines interpretation
Nice-to-have
Consultative and tech-savvy
Continuous process improvement
Empowering employees to find their 'better'
Key Requirements
Minimum 8 years of experience
Degree in Accounting, Finance, Economics, or Business Management
Strong understanding of financial instruments
Broad regulatory knowledge
Experience in Quality Assurance and compliance monitoring