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THE COMPANY:

Our client is a medium sized Investment Bank offering a range of services. They are looking for a Complaince Monitoring Manager to join their growing team. Working within a small team this is a great opportunity to make this role your own

THE RESPONSIBILITIES:

• The primary purpose of the role is to further develop the existing risk based monitoring program to cover both existing and new businesses.
• Ability to interpret trade data and scope appropriate exception reports, to enable the efficient monitoring of trading activity to check for compliance with conduct of business requirements (e.g. best execution, suitability, short sales, dealing ahead of clients), as well as market integrity issues (high/low closing, manipulative and deceptive methods of trading).
• The further development and maintenance of a detailed Compliance Monitoring programme, including real time sampling of trading to monitor trade integrity/market abuse issues.
• Regular sampling of trade data for cob and AML monitoring purposes.
• Other periodic monitoring as set out in the existing program;
• Assisting in preparation, execution and follow up of regulatory reviews, inspections and audits
• Assisting in maintenance of regulatory projects such as Legislative Compliance Management (database of applicable regulations)
• Keeping knowledge of FSA and other applicable regulations current and up to date
• Providing cover for Control Room duties when required

EXPERIENCE REQUIRED:

• Good knowledge of the FSA handbook, particularly Conduct of Business rules;
• Good knowledge of the Market Abuse regime and Code of Market Conduct;
• Good knowledge of equity and debt trading products and FX based products
• General knowledge of Equity and Debt capital products.
• Preferably educated to degree level;
• Relevant experience gained within investment banking, broking, stockbroking

For further information please contact Hannah Tabatabai

Compl3614

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