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Director of Market Surveillance

2 months ago

London, Greater London, United Kingdom Black Swan Group Full time

Job Summary:

The Black Swan Group is seeking a highly skilled Director of Market Surveillance to join our team. As a key member of our organization, you will be responsible for monitoring and analyzing market activity to ensure compliance with regulations and internal policies.

Key Responsibilities:

  • Market Monitoring: Track market activities to identify potential irregularities and take proactive measures to prevent misconduct.
  • Investigations: Conduct thorough investigations into potential misconduct, including insider trading and other forms of market abuse.
  • Business Support: Provide support to our market surveillance projects, ensuring that all activities are conducted in accordance with company standards.
  • Audit & Regulatory Support: Handle queries and audits from regulatory bodies, ensuring that our organization is compliant with all relevant laws and regulations.
  • Reporting: Provide timely and accurate reports to regulators and stakeholders, highlighting any potential issues or concerns.
  • Controls Implementation: Develop and implement controls aligned with company standards, ensuring that our organization is equipped to prevent and detect misconduct.
  • Data & Model Support: Ensure that our data and models are accurate and efficient, providing valuable insights to inform our market surveillance activities.

Requirements:

  • Strategic Guidance: Provide strategic guidance to senior management, driving initiatives to improve our market surveillance capabilities.
  • Resource Management: Oversee budgeting, policy, and resourcing for our market surveillance function, ensuring that we have the necessary resources to meet our objectives.
  • Compliance Oversight: Ensure that our organization is compliant with all relevant laws and regulations, escalating any breaches to senior management.
  • External Relations: Engage with regulatory bodies and advocacy groups, building relationships and ensuring that our organization is represented in a positive and professional manner.
  • Decision-Making: Make key functional and strategic decisions, ensuring that our market surveillance activities are aligned with company objectives.
  • Stakeholder Engagement: Influence and negotiate with senior stakeholders, ensuring that our organization's interests are represented.
  • Client Relations: Act as the main contact for key clients, providing exceptional service and support.
  • Public Representation: Serve as a spokesperson for our organization, representing our values and mission in a positive and professional manner.