Communications Surveillance Officer - VP

Financial Services
London, United Kingdom
GBP80000 - GBP100000 per annum
May 20, 2022
Jun 02, 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Our client are a leading global Corporate and Investment Bank based in the City of London.


The Communications Surveillance Officer - VP will be responsible for:

  • Support the development of the communications surveillance framework for the regulated entities within the Group;
  • Assist in the implementation of new policies and procedures in response to, or in anticipation of, relevant rule changes and new legislation;
  • Work closely with the relevant stakeholders throughout the firm to ensure that appropriate enhancements are made to the firm's surveillance systems, reports and processes as and when rules and regulations require such changes;
  • Ensure ongoing development of surveillance reports is consistent with regulatory enhancements;

Surveillance Management
  • Execute the surveillance processes and SMP (i.e. review, investigation and timely closure & documentation of surveillance alerts); and ensure deliverables are conducted on time;
  • Assist with maintaining and updating the communications surveillance programme to maintain its effectiveness;
  • Assist in developing a Compliance Risk Assessment ('CRA') methodology which will result in a risk adjusted impactful SMP making the most effective use of existing resources;
  • Completing aspects of the CRA , Market Abuse Risk Assessment and other Departmental Risk Assessments or gap analysis as appropriate;


The Communications Surveillance Officer - VP should have the following skills:

  • Experience of communications surveillance and awareness of associated industry practices and disciplines;
  • Compliance background (within a securities house, broker dealer/wholesale banking environment);
  • Experience in the first line of defence is desirable;
  • Experience of voice and electronic communications surveillance tools (e.g., Bloomberg; Nice Actimize; EMC Dell SourceOne; Wordwatch) is preferable;
  • Experience in email surveillance system implementation or system enhancement a strong plus;
  • Proficiency in the English language, both verbally and in writing is required. Fluency in Japanese; German; French; Spanish and any other European language a strong plus;
  • Regulatory awareness and understanding of the emerging regulatory landscape including MiFID II and MAR;
  • Good knowledge and experience of capital markets and treasury investment products;
  • Good awareness of financial conduct areas;
  • The ability to manage a number of issues / investigations concurrently;
  • Accuracy and attention to detail;
  • Self-motivation;
  • The ability to work independently and as part of a team;
  • The ability to work under pressure.
  • Experience of coaching junior team members, covering a diverse set of tasks and prioritising accordingly;
  • The ability to build effective relationships across the three lines of defence and a team spirit approach;
  • Diplomacy and logic to challenge concepts, policies and current practices;
  • An analytical mind and reasoned judgments delivered in a disciplined and structured manner; and
  • The ability to resolve problems.

Job Offer

Salary of £80,000 -£100,000 plus attractive benefits package

Hybrid working

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