Compliance Surveillance Analyst - Investment Banking

An excellent opportunity is an excellent opportunity is available with a global financial institution in Birmingham City Centre for a Compliance Surveillance Analyst. You will be joining the Global Review team who provide observations on the quality and effectiveness of the surveillance alert generation process. The business also operates an agile working policy.

The team makes alert scenario enhancement recommendations to compliance management and conducts and documents calibration and effectiveness reviews on a periodic / routine basis.

Key Responsibilities:
• Conducting calibration and effectiveness reviews of priority and assigned alert scenarios; which includes performing statistical examination on threshold and parameter settings, as well as the regulatory methodologies in scope and data leveraged
• Reviewing existing processes / procedures and providing input / recommendations for enhancing processes and creating strategic solutions for calibrating and validating global surveillance alert scenarios
• Working with the broader surveillance team, compliance Information Technology (IT) and Business Line Compliance to review alert scenario / detection engines ability to capture specific use cases (i.e. external regulatory filings or internal findings outside surveillance)
• Evaluate and interpreting relevant industry regulations and internal policies to evaluate the effectiveness of compliance surveillance controls
• Acting as a key member of the team, interface with local Compliance officers, business staff, IT, regional stakeholders and external vendors to improve / upgrade existing processes and systems leveraged by the team

The Surveillance Analyst will possess prior experience working in a compliance department or in an audit / testing type function. You will have intermediate to advanced Microsoft Excel skills and experience in reviewing large data sets; Visual Basic Applications or SQL experience would be beneficial. You will be experienced in conducting statistical evaluation on large data sets; understanding of and interpreting Boxplot analysis and have ability to document results and recommend improvements regarding compliance surveillance controls. You will have ability to effectively work with a variety of stakeholders from different backgrounds and across different jurisdictions.

This is an excellent opportunity with a company that focuses on empowering employees. The successful candidate will be part of a team that is healthy, engaged, and well-supported. For more information on this role or others please contact Kayte Short on: 01212 602564 Kayte.short@robertwalters.com