Compliance Monitoring Director - Actimize

  • Competitive
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • LMA
  • 20 nov. 17 2017-11-20

Our client is a global investment bank based in the heart of the City of London


The incumbent will design, implement and perform monitoring and testing of transactions across all business lines.

• Design and implement monitoring and surveillance controls to monitor from conduct and market abuse risks and avoid their crystallisation. This includes, but is not limited to;  
o TCF/Suitability monitoring;
o Margin monitoring;
o Conflicts of interest;
o Exchange position limits;
o Buybacks, Market Soundings and Allocations; and
o Physical access, systems access and communications.
o Support LIBOR submission and related communications monitoring.
• Assist, develop and implement new monitoring controls other than those set out above.
• Assess the key impacts and requirements in respect of existing or the development of new monitoring and controls and update 
• Compile breach/incident and audit trial reports arising from monitoring activity and report the outcome 
• Oversee the creation and implementation of relevant and consistent monitoring templates i.e. causal analysis coding.
• Research and analyse applicable regulatory and exchange requirements (incl. new and changes), where appropriate in liaison with the relevant Compliance and support teams to ensure risk assessments are aligned to the monitoring and surveillance framework, thereby ensuring consistency with relevant rules, regulations  and  internal policy.
• Create and document; detailed user guides; development and enhancement forms; and desk top procedures ensuring all procedures and policies remain up to date.
• Assist and maintain a framework for alert classification and escalation.
• Contribute to the maintenance and upkeep of the annual compliance monitoring and surveillance monitoring plan.

Periodic Reporting

• Provide periodic and ad-hoc reports and updates  and Senior Management 
• Create and distribute high quality and accurate M&S in accordance with the monitoring framework and deliver these reports to management as predetermined.
• Update, create and provide high quality management information as requested for local, group, head office and regulatory requests for information.
• Contribute in the production and maintenance of the Annual Compliance Monitoring Plan (‘the Monitoring Plan’) which will meet all relevant regulatory, compliance and internal requirements.
• Assist with internal and external compliance reporting.

Validation Findings

• Liaise with the head of M&S in relation to monitoring and surveillance results
• Track and follow up issued identified as a result of monitoring activity and escalate when necessary.
• Share finding into transaction surveillance solutions
• Assist the head of   M&S and Senior Management with ad-hoc tasks, projects, investigations and regulatory thematic reviews that may be assigned and as requested.
• Perform research and produce reports on regulatory matters as requested.
• Stay abreast of regulatory changes and industrial developments  undertake and scope out impact analysis.

Legal and Regulatory Responsibilities
• Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the London Compliance manual and the Financial Crime Policy.
Maintain appropriate knowledge to ensure to be fully