REV & REGS LIMITED

Rev & Regs are recruiting for a Surveillance Monitoring Officer role for a large multinational financial services company in Liverpool. This is a 6-month fixed term contract. To act as a Surveillance Monitoring Officer and support with the execution of the 2LOD 'surveillance' monitoring programme including but not limited to daily review of trade activity and weekly assessment of best execution. Responsibilities: Supports the delivery of the surveillance monitoring programme across the Group, in line with regulatory requirements and ensures the smooth delivery of said plan to a high standard of quality. Ensures that the quality and tenacity of review work completed is to a high standard, accurate and well documented. Assess trades on a daily basis for potential market abuse utilising the automated analysis software, LiquidMetrix and the business enhanced monitoring activities. Assesses best execution on a weekly basis and provides challenge to 1LoD Dealing teams on the outliers identified by the trade monitoring software. Attends and provides input to weekly best execution meetings between the Dealing team and Compliance. Supports the maintenance and development of the trade monitoring software, LiquidMetrix. Performs routine monitoring programme across the Group's communication mediums. Produces regulatory submissions including TR-1 reports and Takeover Panel reporting. Develops insightful and meaningful management information to help governing Committees understand themes and trends arising. Drives the continuing professional development of oneself. Experience: Demonstrates a solid understanding of the investment management industry. Demonstrable experience in compliance monitoring and a strong understanding of the regulatory requirements of this. Confident communicator, skilled at developing internal relationships and external where necessary (e.g. regulators, external auditors and potentially clients) Keeps up to date with developments in both the Group and wider industry, including new products, legislation and regulation. Knowledge and good understanding of COBs, MAR, CASS and general FCA and PRA requirements. Strong IT literacy and ability to adapt to new systems Background in compliance roles and experience of compliance monitoring Demonstrable experience in trade monitoring including Best Execution and Market Abuse Location: hybrid (3 days per week in Liverpool office) Duration: 6-month FTC Salary - £30,000