Market Abuse Manager

2 weeks ago

London, United Kingdom Compliance Professionals Full time

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 Head of Compliance and the MLRO 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 by providing expert insight and technical assistance.
  • Build relationships with the Front Office and investigate internal escalations when necessary.
  • Draft STOR forms ready for submission to the relevant regulators such as FCA as required.
  • Promptly investigate and communicate operational issues arising from trade surveillance activities with relevant stakeholders, e.g., IT for data related issues.
  • Make recommendations for enhancements to the internal market abuse framework.
  • 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.
  • Assisting with PA Dealing approvals.
  • 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.
  • Support other members of the team in other general compliance related activities.

EXPERIENCE 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.
  • 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

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