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Market Abuse Associate
2 months ago
Our client isa successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more.
THE
RESPONSIBILITIES:
Undertake daily trade surveillance activities using the firm's automated surveillance tool and investigate alerts in a timely manner.Identify risks/issues and discrepancies and proactively escalate to the Market Abuse Manager for secondary review as required.Conduct in depth investigations into potential market abuse instances and improper activity.Accurately document review findings and outcomes and support further investigation of suspicious behaviour as required. Investigate internal escalations when necessary.Draft STOR forms ready for submission to the relevant regulators such as FCA as required.Assisting in maintaining appropriate desk based policies in relation to market abuse.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.Assist in creating face to face market abuse training to the business as required.Assist in creating and maintaining market abuse related MI.Support other team members with ad hoc tasks as required.
EXPERIENCE REQUIRED:
Sound compliance monitoring and surveillance experience 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.Good working knowledge of various products - equities, equity derivatives, FX, ETFs.Strong IT skills familiar with using automated monitoring solutions / tools and Microsoft Word and Excel.Knowledge of TZ surveillance system is a plus.
For further information please contact Natalie Eshelby
