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Capital Markets Compliance OfficerMonitoring and Surveillance

Capital Markets Compliance OfficerMonitoring and Surveillance

Posted 25 September by Goodman Masson
Easy Apply Ended

A global financial services organisation are looking to add a Capital Markets Compliance Officer to their team. This role will make sure that the firm meets its primary regulatory compliance obligations with respect to MAR, MIFID II Order Execution and Conflicts monitoring.

The role will be doing thematic and desk monitoring reviews along with assisting with surveillance of trades, e communications and voice communications. This is an excellent training environment for someone looking to learn multiple products in a supportive environment.

This role will ideally be suited to someone with some monitoring or surveillance experience and knowledge of capital markets and treasury products. Alternatively, this would be a good opportunity for an ex-financial markets trader/salesperson, who has moved or desires to move into compliance.

The successful candidate will have knowledge of Capital Markets, particularly FX, Securities Lending, Transition Management, Fixed Income and Cash equities.

Required skills

  • MAR
  • monitoring
  • FX
  • securities
  • capital markets
  • cash equities
  • MIFID II

Reference: 36198395

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