Compliance Surveillance Associate - London, United Kingdom - eFinancialCareers

eFinancialCareers

Verified Company

London, United Kingdom

3 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

PIMCO is a global leader in active fixed income.

With our launch in 1971 in Newport Beach, California, PIMCO introduced investors to a total return approach to fixed income investing.

In the 50+ years since, we have worked relentlessly to help millionsof investors pursue their objectives - regardless of shifting marketing conditions.

As active investors, our goal is not just to find opportunities, but to create them.

To this end, we remain firmly committed to the pursuit of our mission:
delivering superiorinvestment returns, solutions, and service to our clients.
Since 1971, our people have shaped our organization through a high-performance inclusive culture, in which we celebrate diverse thinking. We invest in our people and strive to imprint our CORE values of Collaboration, Openness, Responsibility and Excellence.

We believe each of us is here to help others succeed and this has led to PIMCO being recognized as an innovator, industry thought leader and trusted advisor to our clients.

Role will involve:

Review of automated voice and electronic communications alerts (escalating, as required)
Review of automated crossproduct trade surveillance alerts (escalating, as required)
Review of policies and procedures designed to govern the review, closure and escalation of alerts (approach needs to be consistent globally)
Produce relevant management information working with global teams to develop a streamlined and consistent approach to produce statistics (e.g. aged alerts, total alerts closed, escalated items, trend analysis)
Assist with the enhancement of existing Market Abuse risk assessments, including the development of a relevant prioritized book of work for the surveillance function
Perform gap analysis following the release of new regulatory notices, particularly as the UK MAR regime continues to evolve

Experience level:

Preferred experience with surveillance tools (e.g. SMARTS, TradingHub, Proofpoint, Autonomy etc.)
Good organizational skills to keep on top of a regular flow of alerts which can require case management, archiving and appropriate escalation
Ideally an Associate or AVP equivalent with relevant Compliance experience (surveillance background preferred)

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