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Director, Compliance & Finance
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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 email@example.com
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