Market Supervisor

3 weeks ago


London, United Kingdom eFinancialCareers Full time

Developing a comprehensive understanding of the Rulebook, Participant Manual, Code of Market Conduct, the Market Abuse Regulation, and the various strategies used to commit market abuse.
- Using automated alerts and complex tools to monitor transactions for market abuse (as detailed in the Code of Market Conduct).Ensuring that all potential breaches identified are escalated promptly to senior members of the team.
- Carrying out investigations of potential market abuse, making recommendations internally for referral to the appropriate regulatory authority.
- Conducting initial enquiries with Trading Participants in respect of anomalous activity.
- Ensuring that accurate records of potential market abuse reviews and investigations are maintained efficiently.
- Maintaining and analysing surveillance alerts and review statistics.
- Monitoring correct calculation of derivative daily settlement and closing prices.
- Assisting with the development and improvement of the analytical tools used to monitor for, and investigate potential market abuse.
- Maintaining an awareness of regulatory developments in respect of market abuse and the overall exchange landscape.
- Regularly updating the market surveillance procedures in line with business growth and applicable regulations.
- Assisting in the on-boarding of new Trading Participants, developing a working knowledge of KYC, AML, company background checks and procedures and on-going Participant oversight framework operation
- Active monitoring of order record keeping and transaction reporting
- Operate on a shift basis, covering the hours of 08:00 to 20:00.

**Requirements**:

- Previous experience of working within the financial industry, ideally with some knowledge of surveillance tools.
- Strong analytical skills and ability to think “outside the box”.
- Excellent teamwork skills; able to communicate, co-operate, support, take ownership and challenge appropriately.
- Good interpersonal and customer service skills; creates and develops relationships both internally and externally.
- Organised, methodical, flexible and able to follow up findings in an efficient and thorough manner.
- PC literate: MS Office with good knowledge of Excel and able to work in a complex screen-based environment.
- Excellent time management skills and ability to work well under pressure.
- Good record keeping and report writing skills with good attention to detail and accuracy


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