Our client is a successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more.
THE RESPONSIBILITIES:
Undertake daily trade surveillance activities using the firm’s automated surveillance tool and investigate alerts
Identify risks/issues and discrepancies and proactively escalate
Conduct in depth investigations into potential market abuse instances and improper activity.
Accurately document review findings and outcomes and support further investigation of suspicious behaviour
Build relationships with the Front Office and investigate internal escalations when necessary.
Draft STOR forms ready for submission to the relevant regulators such as FCA as required.
Promptly investigate and communicate operational issues arising from trade surveillance activities
Make recommendations for enhancements to the internal market abuse framework.
Make recommendations for enhancing processes for identifying market abuse risk in line with regulatory change.
Maintaining the Market Abuse Risk Assessment.
Assisting in drafting and updating appropriate policies and procedures
Conduct reviews in accordance with the Compliance Monitoring Plan.
Assist in responding to regulatory enquiries on market abuse issues.
Assisting with PA Dealing approvals.
Conduct horizon scanning and keep abreast of regulatory changes and updates in respect of market abuse.
Creating and delivering face to face market abuse training to the business as required.
Support other members of the team in other general compliance related activities.
EXPERIENCE REQUIRED:
Sound compliance monitoring and surveillance experience within a financial services firm (brokerage is preferable).
Good relevant experience in a trading, monitoring or surveillance position at a financial services firm (brokerage is preferable).
Strong knowledge of market abuse regulation and conduct regulatory requirements and being able to identify risks in relation to potential Market Abuse is essential.
Good working knowledge of various products – equities, equity derivatives, FX, ETFs.
The ability to work accurately in a fast paced environment
Strong stakeholder management and communication skills
For further information please contact Natalie Eshelby
