Market Abuse Specialist

1 month ago

London, United Kingdom ETRA Talent Full time

Job Description

Exciting new role working for a well-established FinTech provider in the Capital Markets space, headquartered in London is looking to hire a Market Abuse Manager.

  • Utilize the firm’s automated surveillance tool for daily trade monitoring, promptly investigating and addressing alerts.
  • Identify and escalate risks, issues, and discrepancies to the Head of Compliance and MLRO for secondary review as necessary.
  • Conduct thorough investigations into potential instances of market abuse and improper activity.
  • Accurately document investigation findings, providing expert insight and technical assistance for further examination of suspicious behaviour.
  • Cultivate relationships with the Front Office and handle internal escalations when required.
  • Prepare STOR (Suspicious Transaction and Order Report) forms for submission to relevant regulators like FCA.
  • Investigate and communicate operational issues from trade surveillance with relevant stakeholders in a timely manner.
  • Make recommendations to enhance the internal market abuse framework and improve processes for identifying market abuse risks in line with regulatory changes.
  • Maintain the Market Abuse Risk Assessment and assist in drafting/updating policies and procedures related to market abuse.
  • Conduct reviews in accordance with the Compliance Monitoring Plan and assist in responding to regulatory inquiries on market abuse issues.
  • Assist with Personal Account (PA) Dealing approvals.
  • Conduct horizon scanning to stay updated on regulatory changes regarding market abuse.
  • Deliver face-to-face market abuse training sessions to the business as needed.
  • Provide support to team members in other compliance-related activities.

Responsibilities:

  • Minimum 3 years of experience in compliance monitoring and surveillance.
  • Relevant experience in trading, monitoring, or surveillance positions.
  • Strong knowledge of market abuse regulation and regulatory requirements, with the ability to identify risks related to potential market abuse.
  • Proficiency in various financial products including equities, equity derivatives, FX, and ETFs.
  • Familiarity with TZ surveillance system is preferred.
  • Ability to work independently and collaboratively within a small team.
  • A calm and methodical approach to troubleshooting issues in a fast-paced environment.
  • Willingness to cooperate with regulators such as FCA, PRA, and others.
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