Compliance Surveillance Officer EMEA

21st July 2017
Job Type


BSM Group is representing a client seeking a Compliance Surveillance VP.

Key responsibilities:

  • Responsible for developing and maintaining Compliance surveillance program to oversee multi product sales and trading activity.
  • Develop appropriate management information / reporting for Regional Compliance and Business Management.
  • Develop relationships with FX and WFS surveillance teams and leverage resource within to enhance the surveillance programme.
  • Participates in and provides compliance support for regulatory projects and initiatives Report and escalate violations of regulatory obligations.
  • Develop and takes responsibility ownership of the Compliance Surveillance Manual /Procedures.
  • Support Compliance Testing and Internal Audit and where appropriate taking responsibility for addressing corrective action plans in respect of Regulatory Compliance surveillance.
  • Provide leadership for surveillance and be willing to provide guidance to junior team members.
  • In-conjunction with the EMEA Head of Fixed Income Advisory Compliance & the EMEA Head of Markets Advisory Compliance develop a strategic plan for Compliance surveillance.
  • Identify opportunities to enhance existing surveillance processes and recommend areas for improvement.
  • Pro-actively identify and manage Regulatory Compliance risk.

Key requirements:

  • Educated to degree level
  • Strong knowledge of securities and/or derivatives products.
  • Strong understanding of FCA, PRA and European regulatory requirements and how these apply to sales & trading lines of business.
  • Preferably hold industry qualification &/or post graduate qualification.
  • Analytical skills – the candidate must be highly analytical with experience in collecting, analyzing, and synthesizing information on various subjects.
  • Problem solving skills – the candidate must demonstrate the ability to identify key issues, and obtain appropriate information for further analysis.
  • Communication - excellent interpersonal, communication (written and oral) skills are essential with an ability to liaise professionally and with diplomacy across all levels of staff.
  • Teamwork skills – the candidate must be flexible in his/her work style and be able to work appropriately with stakeholders and colleagues at all levels.
  • Highly IT literate - including Microsoft Excel, Access, Word, PowerPoint and other reporting tools but also able to understand use of technology for improving the regulatory control environment.

If you require any more information please contact Hugh Tamlyn: or  0203 906 2695

Apply online
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