Compliance Communication Surveillance

Company: Aston Carter
Location: London, England
Industry: Banking, Compliance, Contract Compliance
Rate:
Job Type: Contract (12 MONTHS)
ID: 07119104
Posted: 01 Sep 2020

Job Description:

  • Drive/encourage initiatives aimed at helping improve efficiency and boost quality of existing surveillance processes (automated alerting / manual monitoring routines) as well as the design and implementation of controls. Actively strive to enhance the current scenarios / systems and challenge status quo through driving improvement/automation initiatives. Manage and protect business as usual capability during change programs/ remediation initiatives

    Business Delivery and Performance

  • Perform the initial review and/or resolve alerts/cases by following the relevant Surveillance, Monitoring & Conduct Standard Operating Procedure to detect potential market misconduct, as well as irregular behaviour that may lead to regulatory / compliance issues. Escalate flagged messages to the Communications Surveillance escalation team for further review and follow up.

  • Escalate any potential technical issues to Communications Surveillance Change team for follow up with Production Support team

  • Ad hoc data retrievals and reviews from source, ie Bloomberg Vault, Reuters Messenger Compliance Module, Discovery Accelerator, OCS, and Ice Chat, where applicable.

  • Periodic review and escalation of chat room administration and usage monitoring

  • Periodic manual monitoring by ensuring proper reviews were done and escalations where required to Communications Surveillance escalation team for further review and follow up
Trading as Aston Carter. Allegis Group Limited, Maxis 2, Western Road, Bracknell, RG12 1RT, United Kingdom. No. 2876353. Aston Carter is a company within the Allegis Group network of companies (collectively referred to as "Allegis Group"). Aerotek, Aston Carter, EASi, Talentis Solutions, TEKsystems, Stamford Consultants and The Stamford Group are Allegis Group brands. If you apply, your personal data will be processed as described in the Allegis Group Online Privacy Notice available at https://www.allegisgroup.com/en-gb/privacy-notices.

To access our Online Privacy Notice, which explains what information we may collect, use, share, and store about you, and describes your rights and choices about this, please go to https://www.allegisgroup.com/en-gb/privacy-notices.

We are part of a global network of companies and as a result, the personal data you provide will be shared within Allegis Group and transferred and processed outside the UK, Switzerland and European Economic Area subject to the protections described in the Allegis Group Online Privacy Notice. We store personal data in the UK, EEA, Switzerland and the USA. If you would like to exercise your privacy rights, please visit the "Contacting Us" section of our Online Privacy Notice at https://www.allegisgroup.com/en-gb/privacy-notices for details on how to contact us. To protect your privacy and security, we may take steps to verify your identity, such as a password and user ID if there is an account associated with your request, or identifying information such as your address or date of birth, before proceeding with your request. If you are resident in the UK, EEA or Switzerland, we will process any access request you make in accordance with our commitments under the UK Data Protection Act, EU-U.S. Privacy Shield or the Swiss-U.S. Privacy Shield.

About Aston Carter:

Aston Carter has grown to become a preeminent global provider of top talent to businesses requiring highly specialised professionals focusing on Accounting & Finance, Change & Transformation, Compliance, Management Consulting, Operations and Risk & Regulation. Aston Carter’s global reach extends to 16 countries across Europe, Asia and North America – each with a firm focus on the core values that made Aston Carter the company it is today: Commitment, Character & Trust, Relationships, and A Passion for Excellence.

Contact Information:

Sarah Lola
slola@astoncarter.com
TEL : +44 20 7532 7949

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