Our client is a boutique investment and trading firm, providing services such as Equity Markets and Retail Platforms for institutional and private clients.
THE RESPONSIBILITIES:
Monitor trading activities for suspicious behaviour and potential violations of regulations.
Create and document daily alert review and escalation process for MAR Surveillance.
Escalate to the Head of Compliance any issues/findings that may involve violations of rules and regulations.
Prepare material relating to STOR or SAR notifications to regulators or other authorities.
Ongoing maintenance of systems, review of alert settings and testing system parameters.
Providing ad-hoc advice to the business and keeping up with the regulatory landscape, and the impact of changes as well as providing updates to the business and the executive committee as appropriate
Review/build out Compliance Monitoring Plan / Surveillance programme, assisting the wider compliance team.
Identify and escalate current regulatory issues to ensure the firm remains in compliance with its obligations.
Reviewing current/future regulatory changes and providing recommendations to the business on the likely impact.
Manage compliance IT projects, specifically for the ongoing improvement of the firm’s monitoring and surveillance systems.
Undertake monitoring reviews in line with the Compliance Monitoring Plan
Report compliance monitoring and surveillance program status and activities
Production of monthly Management Information in respect of monitoring and surveillance program and Consumer Duty, also ad-hoc reports as required
Handle staff dealing approval, monitoring and review staff dealing-related reports
Handle Directory of Person applications to the FCA
Support disclosures of interest and other regulatory reporting and filing
Support regulatory filing and liaise with UK on their enquiries
EXPERIENCE REQUIRED:
Experience in a trade monitoring/trade surveillance function in a trading, brokerage, gambling or banking environment.
Thorough understanding of Market Abuse Regulations including practices and procedures of market standards within the securities industry and/or investment banking industry.
Knowledge of the rules and regulations of the UK FCA and other applicable regulatory agencies.
Experience conducting trade surveillance reviews.
Sound understanding of Compliance responsibilities, practices and procedures within the securities industry.
Knowledge of Financial markets and products.
For further information please contact Duncan Jeffery
