- Responsible for the surveillance of electronic communications and voice communications ,Mails/Messages/Voice calls internal and external to the Firm
- Identify any non-compliant or suspicious activity and escalate questionable electronic communications to the relevant compliance officer/manager
- Remain updated on developments and changes concerning relevant regulations
- Develop and maintain a good understanding of the Firm's business groups and products, including, but not limited to, Fixed Income, Investment Banking, Equity Research and Equities
- Good Knowledge of the EU regulatory environment and the MAR directive
- Identifying gaps within the process and implementing appropriate controls
- Experience in team handling will be preferred
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