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Head of Surveillance, Eu and Asia

3 months ago

London, Greater London, United Kingdom MarketAxess Holdings Full time
Company Description


MarketAxess is on a journey to digitally transform one of the world's largest financial markets, enabling the shift from analog, phone-based trading to a fully electronic marketplace.

Why does this matter? Because our platform makes trading fixed-income more accessible, ultimately improving transparency, efficiency, and competition in the marketplace.

Changing the way an established industry transacts is no easy feat. There will be twists and turns, because no one's ever done this before.

But now, more than 2,000 clients around the world rely on our solutions, and that number is only expected to grow in the years ahead.

We know where we're going. How we get there is up to us. Join us and help Take Us There.

The Role

How You'll Make an Impact
Surveillance for market abuse and electronic communication is conducted by the Compliance function for the EMEA & APAC region.

  • Ensuring that there are adequate policies, procedures and methodologies in place to prevent and detect market abuse, disorderly trading and electronic communications across the trading venues
  • Performing the annual market abuse risk assessment (MARA) for each trading venue, and managing any attendant actions arising from such reviews until completion per the Compliance Monitoring Programme
  • Ensuring appropriate market abuse training to 1st and 2nd lines of defence regarding monitoring and current arrangements to manage market abuse as appropriate
  • Overseeing the interaction with customers or regulators (if any) or current or potential investigations into suspicious activity
  • Escalating suspected market abuse or insider dealing that would prompt notification via a STOR to the relevant regulator promptly, advising the General Counsel, EMEA & APAC and the Chief Compliance Officier, EMEA & APAC on any potential STOR and dealing with subsequent queries
  • Overseeing the enhancements to the monitoring framework and outputs from monitoring reviews
  • Advising the business on resolving trade disputes
  • Producing MI for boards and governance committees related to the design and effectiveness of the market abuse governance and control framework, including commentary about observations of surveillance output, updates on the surveillance system and calibrations etc.
  • Presenting and participating in governance committees (including board and senior management, as required), with the ability to succinctly explain the observations, answer questions and propose courses of action
  • Coordinating and assisting with responses to regulatory enquiries or investigations or consultations regarding market abuse, disorderly trading, insider dealing pertaining to MarketAxess's business
  • Monitoring changes to market abuse regulations and market abuserelated regulatory updates such as the FCA MarketWatch, and regulatory enforcement action and in each case, where relevant, producing analysis to promptly determine any gaps that need to be addressed within MarketAxess's own control framework
  • Managing the business relationship with the third party trade surveillance software vendor (Scila) (e.g. system upgrades manage releases, interface with Tech and vendor to ensure the software works properly) and reporting to internal stakeholders on the above
  • Ensuring that the trade surveillance software is operating optimally, acting as an interface between the third party software vendor and the MKTX Technology team
  • Ensuring appropriate records are maintained of the matters related to market abuse arrangement such as meeting minutes, tracking of actions in response to business or regulatory change, management decisions and challenge

What We're Looking for

  • 9+ years' experience working within in compliance roles with a significant amount of that in a surveillance role a UK/EU market surveillance function for a bank, investment firm or trading venue (preferred), encompassing monitoring, market abuse risk assessments, alert calibrations, reporting and recordkeeping of processes and decisions
  • University degree or similar
  • Fixed income experience in compliance or trading (first line _trading_ experience in fixed income preferred, but not required)
  • Extensive knowledge of relevant market abuse regulations and regulator's expectations to manage market abuse risk and disorderly trading and attendant reporting obligations (i.e. STORs and the FCA Principles for Business)
  • Experience working with third party vendors supporting surveillance arrangements is preferred and managing the relationship with the surveillance system provider
  • Experience using and enhancing surveillance software for trade surveillance and electronic communications monitoring and attendant case management
  • Ability to interface with regulators and management in relation to queries or providing advice about the market abuse control framework
  • Ability to work collaboratively across the business between 1st and 2nd line and other support functions such as