Market Abuse Surveillance Analyst

THE COMPANY:

Our client is an institutional brokerage and securities firm based in the West End.

THE RESPONSIBILITIES:

• Undertake daily trade surveillance activities to address and investigate alerts
• Identify and investigate potential market abuse and improper activity.
• Identify risks/issues and discrepancies and proactively elevate
• 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 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
• Make recommendations for enhancements to existing processes for identifying market abuse risk
• Assist in drafting and updating appropriate policies and procedures
• Conduct reviews in accordance with the Compliance Monitoring Plan;
• Assist in responding to regulatory enquiries;
• Assist with PA Dealing approvals and monitoring of the Restricted and Watch Lists

EXPERIENCE REQUIRED:

• Extensive compliance monitoring and surveillance experience within a financial services firm (brokerage is preferable)
• Extensive relevant experience in a trading, monitoring or surveillance position at a financial services firm
• Strong knowledge of market abuse regulation and conduct regulatory requirements
• Deep knowledge of various products- cash equities, equity derivatives, fixed income, FX options, IRSs
• Excellent communication skills, both written and verbal, to deal with key stakeholders
• Very motivated with strong ability to prioritise

For further information please contact Natalie Eshelby