Compliance Monitoring and Surveillance Manager

Temporary Contract up to 12 months Primary Responsibility

• Deliver daily surveillance outcomes through requirements documented within the Monitoring and Surveillance Procedures Manual.
• Ensure all activities and procedures covered within the Monitoring Surveillance and Procedures Manual are completed in a timely manner with the inclusion and documentation of appropriate rationale where appropriate.
• Conduct forensic investigations in an auditable manner in accordance with procedures or as directed by management.
• Develop an ongoing understanding of the business and its processes as they apply to Monitoring and Surveillance. Principal Duties
• Process draft STOR submissions in a timely manner.
• Ensure the function maintains a zero backlog regarding surveillance alerts, communications monitoring, manual surveillance procedures and CAP reviews.
• Conduct CAP reviews in a timely manner and ensure delivery of the plan.
• Develop CAP testing framework.
• Monitor and manage issues list across relevant stakeholders.
• Provide input and develop alerts to manage identified risks in automated systems.
• Assist in the development of systems testing criteria and manage testing as required.
• Conduct data analysis as part of projects or in accordance with ongoing improvements to surveillance capabilities.
• Maintain surveillance logs and manage delivery of items identified in a timely manner.
• Establish understanding of the Monitoring and Surveillance Framework and provide input to improvements.
• Build appropriate relationships across the business to ensure surveillance outcomes can be delivered.
• Understand the risk identified through the MAR Risk Assessment and provide input to its development.
• Deliver Monitoring and Surveillance in accordance with Conduct Rules and escalate and document any identified issues.
• Complete Ml to timelines and provide input to improvement.
• Complete allocated project work in defined timelines.
• Develop papers for relevant committee submissions subject to review and approval by the Head of Monitoring and Surveillance.
• Complete all allocated training within the timelines set.
• Attend external events as part of Continuous Personal Development (CPD).
• Develop ongoing understanding of relevant Regulatory frameworks and their application to the Business including guidelines, and Q&As.
• Maintain and develop knowledge of published market abuse cases and highlight these to the business where appropriate.
• Maintain understanding of Regulatory consultation papers and provide business feedback where appropriate.
• Provide training and develop other members of the team.
• Attend meetings as required and provide appropriate input to the Business.
• Deputise for the Central Compliance Team Lead when required.
• Manage information requests from Regulators at the direction of management.
• Create, improve and update lexicons in accordance with procedures.
• Where appropriate improve procedures and update manual accordingly.
• Where approval is required for relevant activity from Senior Managers or Committees ensure these are obtained. Leadership
• Build and develop the competency and effectiveness of the Surveillance & Monitoring framework.
• Ensure that a robust control framework is implemented and maintained, working with the Central Compliance Team Lead.
• Promote and foster good conduct, culture and employee engagement.
• Proactive approach to taking ownership and delivering tasks.
• Ensure high quality product output. Skills, Experience & Qualifications
• Prior Surveillance & Monitoring Compliance experience and understanding of financial market activities is essential.
• Regulatory understanding of FCA, MIFID II and MAR is required.
• Good communication skills and report writing essential.
• Good technical knowledge and experience of Excel and PowerBI is preferred
• Minimum A-Levels or equivalent, degree preferred.
• CISI related certificate/ qualifications desirable but not mandatory.