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Personal Conflicts Monitoring

Salary Competitive
Type Permanent
Location London
Sector Compliance
Job Reference T3A/AXP/25388
Contact Adam Pollard
Date posted 07-02-2017

A leading rating agency in London is currently looking for a Personal Conflicts Monitoring – Compliance candidate to joint their Global Compliance Group.

As the Personal Conflicts Monitoring candidate your main responsibilities will include:

• Provide a practical and supportive role in administering the Firm's Code of Conduct provisions relating to employee trading, gifts, outside interests and annual certifications
• Assist with tracking and monitoring Employee Personal Securities Brokerage Account Activity and Trade Confirmations
• Ongoing surveillance and "spot checking" of personal trading activity to detect conflicts of interest, trading violations, front running, trading on inside information etc. and escalate as appropriate.
• Ongoing review and evaluation of the Firm's policies and procedures to ensure that risk issues continue to be the focus of the Personal Securities Monitoring Team

The successful candidate will have:

• Demonstrated experience in the oversight of securities monitoring in the financial services industry
• Strong relationship management skills and experience
• Ability of operate and influence at senior ends of the business
• Hands on approach with a sense of ownership and leadership for the assigned geographical regions

For more information on the role please contact Adam Pollard on 02031453348 or

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Contact Adam about this job

Associate, Consultant