Compliance Officer – Brokerage – Interim – 28th October 2019

 

Key responsibilities

Responsibilities include but are not limited to:

  • Daily surveillance alert reviews;
  • Development of additional tactical solutions, pending implementation of automated solution;
  • Involvement in various projects, including the development and testing of new surveillance models;
  • Engagement with business and wider compliance team.
  • E-Comms

Specialist skills and experience

  • Demonstrable knowledge of working in surveillance and committed to continuing in this field
  • Good working knowledge of CFDs and underlying markets (equities, FX)
  • A deep understanding of markets and trading;
  • Experience in the development and implementation of system enhancements including the documentation of business requirements;
  • Experience in review of alert scenario effectiveness and threshold calibration;
  • A desire to learn and the ability to clearly communicate issues with Compliance and business colleagues;
  • Good working knowledge of the applicable regulatory principles and rules;
  • The candidate must possess intermediate to advanced Microsoft Excel skills.

Competencies and behaviours

  • Analytical
  • Team player
  • Flexible

Contact Jackson Baker

jackson.baker@rutherfordsearch.com