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Surveillance AVP, Compliance
4 weeks ago
Charterhouse Partnership is looking for a Surveillance Vice President to join an Investment Bank. Reporting directly to the Head of Surveillance, you will be responsible for monitoring and analyzing sales, trading, and banking activities within the business.
Responsibilities:
- Conduct monitoring of transactions and electronic communications to detect potential market manipulation.
- Ensure surveillance activities follow established procedures and frameworks, escalate issues, and resolve them promptly. Investigate flagged trades thoroughly.
- Participate in Trade and Communication Surveillance projects, fine-tune systems, and conduct user acceptance testing.
Requirements:
- Familiarity with local and global regulations on market abuse surveillance.
- Understanding of various asset classes, with a preference for Fixed Income and FX products.
- Self-motivated, capable of working independently.
- Strong verbal and written communication skills.
- Excellent analytical and problems-solving abilities.
- Effective project management skills.
If you want more details about this role or the compliance market, please contact Xuan Kwok.
EA License no: 16S8066 | Reg no.: R1433611
Only shortlisted candidates will be contacted.
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