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.
Additionally, the role supports audits, system enhancements, senior‑management reporting, provides subject‑matter expertise, and guides junior team members while continuously improving monitoring processes and controls.
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
Bloomberg and Aladdin
Market abuse surveillance
Nice-to-have
Subject-matter expertise
Continuous improvement
Stakeholder management skills
Key Requirements
Minimum 8 years of experience
Degree in Accounting, Finance, Economics, or Business Management