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Market Abuse Associate
3 months ago
THE COMPANY:
Our client is a 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