Beschreibung
For a project at our client ‘s site, an international bank based in Zurich, we are looking for an experiencedCompliance Officer - SMARTS / Actimize (5550)
In this role you will be responsible for identifying, escalating and reporting instances of potential market abuse using SMARTS and Actimize automated systems as well as manual and desk based reviews.
Your Qualifications:
- 3+ years relevant compliance experience in Investment Banking, Asset or Wealth Management within a similar role
- Experience of Market Abuse Trade Surveillance using SMARTS / Actimize or experience within a control environment is advantageous
- A sound understanding of the regulatory environment relating to market abuse and the current issues / challenges faced
- A genuine interest in financial markets and market abuse regulation
- Sound ability with Microsoft Office package; particularly Microsoft Excel
Your Responsibilities:
- Investigate cases of potential market abuse (insider dealing and market manipulation) across automated alerting systems (e.g. SMARTS and ACTIMIZE) and manual based controls in a timely manner. These investigations will be across asset classes and business divisions
- Assist with ad hoc deep dive reviews of activity, which include reviews in response to regulator/exchange queries, using internal systems and external resources
- Drive continuous improvement of the surveillance framework including input to regular design and operational effectiveness evaluations and the refinement and recalibration of controls
- Contribute to the implementation of strategic department projects including global and regional initiatives;
- Participate in implementation activities including testing and integration
- Assist in the production of effective management information reports for Senior Management
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