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.
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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
Bloomberg and Aladdin compliance modules
Nice-to-have
Subject-matter expertise
Continuous process improvement
Supportive leadership
Tech-savvy
Key Requirements
Minimum 6 years of experience
Degree in Accounting, Finance, Economics, or Business Management
Strong understanding of financial instruments including derivatives