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This is a role in the Risk and Compliance function and provides the right candidate with the
opportunity to shape how it evolves. The role holder will involve working in a variety of compliance
initiatives and projects. He/She will be conducting routine review and investigations of unusual
market activity for evidence of violations of relevant rules and will be accountable for presenting
the investigative findings in an organized and concise manner. Depending on the progress,
additional tasks belonging to core risk functions will also be incorporated in the role.
The role will also receive extensive on-the-job training to support the personal growth.
The primarily responsibility of the job holder will be to be to conduct a daily review of the Group’s
activity using the market surveillance solution in order to detect potential and/or actual violations
of the exchange rules/regulations. The individual must have strong investigative instincts and able
to demonstrate understanding of markets and strategies.
-Perform surveillance reviews and investigations in a manner that ensures that the monitoring
procedures are conducted with the highest quality and that appropriate actions are taken
• Appropriate inquiry and investigation is conducted as warranted;
• Inquiries and replies are appropriate, complete and satisfactory;
• The reviews and follow-up inquiries are evidenced in a manner that is in accordance with
regulations and firm policies and procedures;
• Identification of areas of non-compliance, potential risk issues and escalation of matters
to the supervisor
– Participation in the development and implementation of the compliance system enhancements.
– Maintaining appropriate documentation of compliance activity including monitoring of issues
raised, breaches log (internal and external) and producing regular reports.
– Complete special and ad-hoc projects as identified or assigned in a quality and timely manner.
– Working closely with the supervisor to assist with a variety of tasks including:
• Investigating and responding to enquiries raised by clearers and regulatory bodies. This
would involve collecting the necessary information, analysing the information thoroughly,
researching relevant rules and regulations, and helping in preparation of the written
• Providing input and representation on key compliance initiatives, meetings and
• Preparation and maintenance of the firm’s compliance policies and documents
• Liaising with HROMs during conducting of internal compliance audits
• Monitoring legal, regulatory, policy, procedure and business developments, focusing on
how they impact compliance training needs.
– Providing any other kind of administrative support
To apply, please email your CV to firstname.lastname@example.org