Market Surveillance Analyst

3 weeks ago

Manchester, United Kingdom AJ Bell Full time
Position Overview:

We are seeking a dedicated Market Surveillance Analyst to assist the Financial Crime Manager in addressing all aspects of identifying, preventing, and reporting market abuse.


Key Responsibilities:
  • Serve as a subject matter authority in market abuse surveillance.
  • Conduct daily trade monitoring and analyze alerts to detect potential market misconduct.
  • Thoroughly document the findings and conclusions of investigations.
  • Evaluate internal referrals related to possible market abuse and unethical trading practices.
  • Prepare and submit Suspicious Transaction and Order Reports (STORs) to the regulatory authority as directed by the Financial Crime Manager.
  • Draft and file Suspicious Activity Reports (SARs) with the National Crime Agency (NCA).
  • Respond to inquiries from regulatory bodies.
  • Propose enhancements to current processes for identifying market abuse risks in accordance with regulatory updates.
  • Assist in the creation and revision of relevant policies and procedures regarding market abuse.
  • Generate related Management Information (MI).
  • Support the design and delivery of training for the broader organization as needed.
  • Collaborate with the Financial Crime Manager on continuous improvement initiatives.

Candidate Profile:
  • Solid understanding of equities, fixed income, and investment funds.
  • In-depth knowledge of Market Abuse Regulation (MAR) and Anti-Money Laundering (AML) directives.
  • Familiarity with high-risk indicators associated with market abuse.
  • Exceptional analytical and investigative capabilities.
  • Strong prioritization skills with the ability to perform under pressure and meet tight deadlines.
  • Excellent written and verbal communication skills, with the ability to foster and maintain relationships with key stakeholders.
  • Proficient in managing specific technical inquiries to resolution.
  • Ability to work independently and as part of a team.
  • Self-driven with a robust work ethic and the capacity to juggle multiple tasks.

About AJ Bell:

AJ Bell is a leading investment platform in the UK, offering a comprehensive range of solutions for both professional financial advisers and novice investors. With over 503,000 customers managing assets exceeding £80.3 billion, we are committed to simplifying the investment process and empowering individuals to take charge of their financial futures.


Our Benefits:
  • Generous holiday entitlement starting at 25 days, increasing with service.
  • Flexible holiday buy and sell scheme.
  • Choice of pension plans with matched contributions.
  • Discretionary bonus opportunities.
  • Annual free share awards.
  • Health Cash Plan provided by Medicash.
  • Discounted private healthcare and dental plans.
  • Complimentary gym membership with access to various classes.
  • Employee Assistance Programme.
  • Loan schemes for bicycles and travel season tickets.
  • Enhanced parental leave policies.
  • Opportunities for professional development and training.

Work Environment:

At AJ Bell, we prioritize a collaborative culture and offer a hybrid working model, requiring a minimum of 50% of working time in the office. New employees will initially work full-time in the office to foster connections and integrate into our business.


We are committed to fostering an inclusive environment where all employees can thrive, regardless of their background or identity.

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