Our client is an international investment advisor, with around $7 trillion in global assets under management.
Ownership of Europe’s market abuse surveillance programme with use of electronic and voice communication surveillance. Serves as a trusted specialist for global market abuse matters, including, ongoing monitoring, detection of potential breaches and training requirements. Operate as business authority and product owner.
Leads efforts to enhance surveillance systems, design and implementation of new policies, procedures, and controls to ensure compliance with applicable market abuse laws and regulations across the globe. Monitors, reviews and calibrate tolerances for alert generators.
Leads internal investigations and/or STOR reporting. Investigates exceptions raised and carry out investigations into issues, errors and unusual patterns of trading. Effectively raising relevant issues in line with procedures in a timely manner.
In addition to market abuse surveillance the role will encompass monitoring of the best execution and trade allocations.
Continually improve the Compliance Programme for the Business. Implements compliance measures that are aligned with overall strategic goals.
Utilises risk management techniques and business area expertise to develop, maintain and test relevant policies and procedures. Balances multiple assignments simultaneously from conception through to execution and implementation of recommendations. Coordinates, prioritises and actively handles tasks as needed to meet deadlines.
Fosters lines of communication between, and with, business contacts, the Legal Department, Compliance Department colleagues, and other control groups across Europe and US. Participates in activities and efforts as required with other Compliance teams and business partners in other regions.
Develops and maintains a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Stays abreast of current market, enforcement action, regulatory and industry relevant news. Serves as a technical authority on market abuse compliance requirements.
Prepares board reports and other applicable management reporting on monthly and quarterly basis.
Develops and delivers training and education to the business and compliance colleagues, including presentations at staff/team meetings.
Participates in and actively supports corporate initiatives.
Participates in special projects and performs other duties as assigned.
Knowledge of MiFID, MAR and FCA rules and regulations commensurate with experience level. Knowledge and experience of UK and/or Irish UCITS (investment funds and/or ETFs) preferable.
Prior knowledge of order management systems, surveillance tools ideal (Charles River, Blackrock Aladdin, Bloomberg TCA)
Critical attitude, able to query set of data pulling out relevant information to understand trade rationales.
Mathematically astute, able to expertly analyse large datasets.
For further information please contact Duncan Jeffery