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 in a timely manner.
Identify risks/issues and discrepancies and proactively escalate to the Head of Compliance and the MLRO for secondary review as required.
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 as required by providing expert insight and technical assistance.
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 with relevant stakeholders, e.g., IT for data related issues.
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 in relation to market abuse as required.
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 (3yrs +) 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.
Strong IT skills familiar with using automated monitoring solutions / tools and Microsoft Word and Excel.
Knowledge of TZ surveillance system is a plus.
For further information please contact Natalie Eshelby
