Market Abuse Surveillance Analyst

4 days ago

London, United Kingdom eFinancialCareers Full time

**Market Abuse Surveillance Analyst**

**City of London**

**Permanent**

**£60,000 - £70,000**

**The Responsibilities of a Market Abuse Surveillance Analyst Will Include**:

- Undertake daily trade surveillance activities to address and investigate alerts and identify and investigate potential market abuse and improper activity.
- Identify risks/issues and discrepancies and proactively escalate to the Head of Compliance and the MLRO for secondary review as required.
- 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 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 existing processes for identifying market abuse risk in line with regulatory change.
- Assisting in drafting and updating appropriate policies and procedures in relation to financial crime as needed.
- Conduct reviews in accordance with the Compliance Monitoring Plan
- Assist in responding to regulatory enquiries
- Assisting with PA Dealing approvals and monitoring of the Restricted and Watch Lists

**The Successful Market Abuse Surveillance Analyst Will Have**:

- Extensive compliance monitoring and surveillance experience within a financial services firm (brokerage is preferable)
- Extensive relevant experience in a trading, monitoring or surveillance position at a financial services firm (institutional brokerage is preferable, at least 5-6 years’ experience).
- Strong knowledge of market abuse regulation and conduct regulatory requirements and being able to identify risks in relation to potential Market Abuse is essential
- Deep knowledge of various products
- cash equities, equity derivatives, fixed income, FX
- options, IRSs
- Strong IT skills familiar with using automated monitoring solutions / tools and Microsoft Word and Excel
- Knowledge of TZ surveillance system is a plus

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