Market Risk Policy Director

2 weeks ago

London, United Kingdom Compliance Professionals Full time

Identify risks/issues and discrepancies and proactively escalate to the Head of Compliance and the MLRO for secondary review as required.
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.
IT for data related issues.
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.
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.
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.
Strong IT skills familiar with using automated monitoring solutions / tools and Microsoft Word and Excel.

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