Surveillance Analyst
2 weeks ago
The Role
As part of our compliance team you’ll join a growing international Compliance team in fixed income electronic markets. The role is based in London and the candidate will be involved with performing trade surveillance and monitoring of electronic communications in relation to MarketAxess’ regulated trading venues across EMEA & APAC, and from time to time other trading venues in the organisation. The role will require strong data analytical skills, a core understanding of market abuse regulations and an ability to think critically.
- Monitoring and closing of market surveillance alerts and electronic communications to identify suspicious behaviour that could be indicative of market abuse, insider trading or inappropriate market conduct;
- Calibration and tailoring of monitoring systems to ensure that alerts are generated optimally and reduce false positives across trade surveillance and electronic communications systems;
- Producing and checking reliable MI on surveillance activity to support the Senior Surveillance Officer in reporting to Boards and governance committees on the market abuse governance and control framework;
- Assisting the Senior Surveillance Officer to:
- perform the annual market abuse risk assessment (MARA) for each trading venue across EMEA & APAC.
- reviewing policies and procedures relating to market abuse and electronic communications.
- maintaining accurate paperwork and records to document decisions and track attendant actions arising from the Board and governance meetings;
- preparing training material for staff relating to market abuse.
- managing technical enhancements relating to compliance monitoring software such as Scila (trade surveillance) and Global Relay (electronic communications).
- implementing system changes arising from changes to market abuse regulations, guidance or best practice.
- escalating and investigating exceptions and incidents arising from market abuse and electronic communications monitoring.
- prepare material relating to STOR or SAR notifications to regulators.
How You’ll Make an Impact
- Working with relevant stakeholders to investigate and resolve exceptions arising from compliance monitoring.
- Ability to multi-task and work independently and reliably.
- Articulating findings in a clear and concise manner.
- Demonstrating perseverance and tenacity to get the job done.
What We’re Looking for
- A graduate with good academic qualifications, preferably with a STEMS degree.
- Experience of having worked in market surveillance preferred.
- Interest in financial markets, data analysis, and compliance.
- Willingness to learn about the technical aspects of market surveillance.
- Team player, ability to work flexibly and tenacity.
- Strong report writing and documentation skills.
- Languages - English – must be fluent, written and spoken
What You Can Expect from Us
- Central Location: based at our city offices near St Paul's.
- Free Food: We provide lunch each day of the week when the employee attends the office via our vendor Feedr as well as breakfast cereals, office snacks and drinks from our free vending machines
- Paid Time Off: 25 days annual leave entitlement plus 2 charity days
- Reward for your service: We offer a two-week bonus holiday after completing each 5 years of service
- Core benefits: Besides competitive standard benefits package we offer private medical (PMI) for family, Cash Plan, health screenings, dental cover, 6X life assurance, critical illness cover, income protection, pension, car leasing (Tusker electronic cars), reimbursement for wellness stipend, interest free season ticket loan and a “Share Incentive” plan
- Tuition Assistance and Professional Training: Benefit from on-demand learning, boot camps, and opportunities to attend conferences
Collaboration and innovation are integral to our success – it's how we got to where we are and how we’ll maintain and grow our competitive advantage. We believe this best happens in an office environment. Employees work in the office 4 days a week. This approach still allows for flexibility depending on the business function you work within but also helps us maintain a collaborative office environment long-term.
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