Trade Surveillance Specialist
1 month ago
We are seeking an experienced Trade Surveillance Analyst to join our team at AJ Bell. As a key member of our Financial Crime team, you will play a crucial role in preventing, detecting, and escalating concerns of market abuse.
Key Responsibilities:- Act as a subject matter expert in trade surveillance and market abuse prevention.
- Undertake daily trade surveillance and investigate alerts to identify potential market abuse.
- Accurately document findings and outcomes of investigations.
- Review internal referrals received from the business in relation to potential market abuse and poor market etiquette.
- Draft and submit reports to regulatory bodies as agreed by the Financial Crime Manager.
- Assist in drafting and updating policies and procedures related to market abuse.
- Produce relevant management information.
- Support the development and delivery of training to the wider business.
- Previous experience working in Market Abuse Surveillance is essential.
- A good understanding of equities, fixed incomes, and funds.
- A strong understanding of MAR and Money Laundering Directives.
- A strong understanding of high-risk indicators indicative of market abuse.
- Strong analytical and investigative skills.
- Strong prioritisation skills and ability to work under pressure to meet strict deadlines.
- Strong communication skills, both written and verbal, and ability to build and maintain internal/external relationships with key stakeholders.
AJ Bell is one of the fastest-growing investment platform businesses in the UK, offering an award-winning range of solutions that cater for everyone, from professional financial advisers to DIY investors with little to no experience. We have over 542,000 customers using our award-winning platform propositions to manage assets totalling more than £86.5 billion.
We are committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work.
We do not discriminate on the basis of race, sex, gender identity, sexual orientation, age, pregnancy, religion, physical and mental disability, marital status, and any other characteristics protected by the Equality Act 2010.
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Market Abuse Surveillance Specialist
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