Market Abuse Compliance Specialist

3 weeks ago

Manchester, United Kingdom AJ Bell Full time
Position Overview:

We are seeking a dedicated Market Abuse Compliance Specialist to assist the Financial Crime Manager in addressing all aspects related to the prevention, identification, and escalation of market abuse concerns.


Key Responsibilities:
  • Serve as a subject matter authority in market abuse surveillance.
  • Conduct daily trade monitoring and investigate alerts to detect potential market misconduct.
  • Thoroughly document investigation findings and outcomes.
  • Evaluate internal referrals regarding potential market abuse and inappropriate market behavior.
  • Prepare and submit Suspicious Transaction and Order Reports (STORs) to the relevant regulatory body as directed by the Financial Crime Manager.
  • Draft and file Suspicious Activity Reports (SARs) with the National Crime Agency (NCA).
  • Respond to information requests from regulatory authorities.
  • Propose enhancements to existing processes for identifying market abuse risks in accordance with regulatory updates.
  • Assist in the formulation and revision of policies and procedures related to market abuse.
  • Generate relevant Management Information (MI).
  • Support the creation and delivery of training programs for the broader organization as needed.
  • Collaborate with the Financial Crime Manager on continuous improvement initiatives.

Qualifications:
  • Comprehensive knowledge of equities, fixed income securities, and investment funds.
  • Strong grasp of Market Abuse Regulation (MAR) and Anti-Money Laundering (AML) directives.
  • In-depth understanding of high-risk indicators associated with market abuse.
  • Exceptional analytical and investigative capabilities.
  • Proficient prioritization skills and ability to perform under pressure to meet tight deadlines.
  • Excellent written and verbal communication skills, with the ability to cultivate and maintain relationships with key stakeholders.
  • Capacity to take ownership of technical inquiries and resolve them effectively.
  • Ability to work independently.
  • A collaborative team player.
  • Self-driven with a robust work ethic and the capability to manage multiple tasks in both team and individual settings.

About AJ Bell:

AJ Bell is a leading investment platform provider in the UK, delivering an award-winning suite of solutions tailored for a diverse clientele, from professional financial advisors to 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.


Benefits:
  • Starting holiday entitlement of 25 days, increasing to 31 days with tenure.
  • Flexible holiday buy and sell scheme.
  • Choice of pension plans with matched contributions up to 6%.
  • Discretionary bonus program.
  • Annual free share awards.
  • Health Cash Plan provided by Medicash.
  • Discounted private healthcare and dental plans.
  • Complimentary gym membership with a variety of free classes.
  • Employee Assistance Program.
  • Bike loan options.
  • Enhanced parental leave policies.
  • Professional development opportunities tailored to individual career aspirations.

Work Environment:

At AJ Bell, we prioritize a culture of collaboration and connection. Our hybrid working model allows for a balanced approach, with a minimum of 50% of working time spent in the office to foster teamwork and relationship building.

  • Market Abuse Surveillance Specialist

    3 weeks ago

    Manchester, United Kingdom AJ Bell Full time

    Position Overview:We are seeking a dedicated Market Abuse Surveillance Specialist to assist the Financial Crime Manager in the essential task of identifying, preventing, and escalating potential market abuse incidents.Key Responsibilities:Serve as a subject matter expert in market abuse surveillance.Conduct daily trade monitoring and investigate alerts to...

  • Market Abuse Surveillance Analyst

    2 days ago

    Manchester, United Kingdom AJ Bell Full time

    About the RoleWe are seeking an experienced Market Abuse Surveillance Analyst to join our team at AJ Bell. As a key member of our Financial Crime department, you will play a crucial role in preventing, detecting, and escalating concerns of market abuse.Key ResponsibilitiesAct as a subject matter expert in market abuse surveillance and investigation.Undertake...

  • Specialist Domestic Abuse Worker

    3 months ago

    Manchester, United Kingdom The Pankhurst Trust (Incorporating Manchester Women's Aid) Full time

    Dear Idea makers, Boundary Pushers, Problem Solvers, and Forward Thinkers! Are you looking for a rewarding role where every day is different? The Pankhurst Trust brings together Manchester Women’s Aid and the Pankhurst Centre. We work together to ensure the story of the women who won the vote continues to inspire us all, and to ensure that those suffering...

  • Market Abuse Surveillance Analyst

    3 weeks ago

    Manchester, United Kingdom AJ Bell Full time

    Job DescriptionDue to continued business growth, we are now hiring for an experienced Market Abuse Surveillance Analyst to support the Financial Crime Manager with all matters of preventing, detecting and escalating concerns of market abuse.Key accountabilities and responsibilities: Act as a subject matter expertUndertake daily trade surveillance and...

  • Market Abuse Surveillance Analyst

    4 weeks ago

    Manchester, United Kingdom AJ Bell Full time

    Job DescriptionWe're now hiring a Market Abuse Surveillance Analyst to support the Financial Crime Manager with all matters of preventing, detecting and escalating concerns of market abuse.Key accountabilities and responsibilities: Act as a subject matter expertUndertake daily trade surveillance and investigate alerts to identify potential market...

  • Substance Abuse Recovery Specialist

    3 weeks ago

    Manchester, United Kingdom Belmont Recruitment Full time

    Position OverviewBelmont Recruitment is currently seeking qualified Substance Abuse Recovery Specialists to join our team. This role is focused on providing support to individuals dealing with alcohol dependency and those in various stages of recovery.Key ResponsibilitiesThe successful candidate will manage a caseload of approximately 70 clients, offering...

  • Domestic Abuse Helpline Specialist

    1 day ago

    Manchester, United Kingdom Independent Choices Greater Manchester Full time

    About the RoleWe are seeking a compassionate and proactive Domestic Abuse Helpline Advisor to provide crucial support and guidance to individuals affected by domestic abuse through our helpline.Key ResponsibilitiesRespond to helpline calls and assess the needs of individuals affected by domestic abuseOffer guidance, emotional support, and information on...

  • Domestic Abuse Worker

    3 months ago

    Manchester, United Kingdom The Pankhurst Trust (Incorporating Manchester Women's Aid) Full time

    Dear, Idea makers, Boundary Pushers, Problem Solvers, and Forward Thinkers! Are you looking for a rewarding role where every day is different? The Pankhurst Trust brings together Manchester Women’s Aid and the Pankhurst Centre. We work together to ensure the story of the women who won the vote continues to inspire us all, and to ensure that those...

  • Domestic Abuse Case Worker

    13 hours ago

    Manchester, United Kingdom Stonewater Full time

    **About the Role**We are seeking a highly skilled and compassionate Domestic Abuse Case Worker to join our team at Stonewater. As a specialist in supporting the LGBTQ+ community, you will play a vital role in delivering person-centred, strengths-based support to individuals who are accessing our Brighton Refuge.**Key Responsibilities**Manage a caseload of...

  • Multilingual Domestic Abuse Worker

    3 months ago

    Manchester, United Kingdom The Pankhurst Trust (Incorporating Manchester Women's Aid) Full time

    Dear, Idea makers, Boundary Pushers, Problem Solvers, and Forward Thinkers! Are you looking for a rewarding role where every day is different? The Pankhurst Trust brings together Manchester Women’s Aid and the Pankhurst Centre. We work together to ensure the story of the women who won the vote continues to inspire us all, and to ensure that those...

  • Equities Compliance Expert

    2 days ago

    Manchester, United Kingdom AJ Bell Full time

    About the RoleWe are seeking an experienced Market Abuse Surveillance Analyst to join our team at AJ Bell. As a key member of our Financial Crime department, you will play a critical role in preventing, detecting, and escalating concerns of market abuse.Key ResponsibilitiesAct as a subject matter expert in market abuse surveillance and...

  • Compliance Manager

    1 day ago

    Manchester, United Kingdom Hays Specialist Recruitment Full time

    About the RoleHays Specialist Recruitment is seeking an experienced AML Compliance Manager to join our Risk and Compliance team. As a key member of our team, you will be responsible for managing a range of AML/Compliance matters, working closely with our clients to ensure compliance with regulatory requirements.Key ResponsibilitiesManage AML/Compliance...

  • Support Line Domestic Abuse Worker

    3 months ago

    Manchester, United Kingdom Red Snapper Recruitment Ltd Full time

    RSR is a public safety, Housing & enterprise security recruitment specialist. We assist public safety & housing employers find the right talent. We assist all employers when they want to source public safety, housing and enterprise security skills and experience. RSR Justice are currently recruiting on behalf of our client for a Support Line Domestic Abuse...

  • Risk and Compliance Lawyer

    3 months ago

    Manchester,, Greater Manchester, United Kingdom AJ FOX COMPLIANCE Full time

    Are you a qualified solicitor or legal professional? Someone passionate about risk and compliance? If you answered yes, you may be interested in this new opportunity.We are looking for a Risk and Compliance Lawyer who can provide specialist legal risk-based advice on complex areas of regulatory compliance for a Top 100 UK law firm, based in Manchester (with...

  • Risk and Compliance Specialist

    2 days ago

    Manchester, United Kingdom DiverseJobsMatter Full time

    Job DescriptionRole OverviewThe Business Acceptance Unit (BAU) at DiverseJobsMatter is seeking a highly skilled Conflicts Professional to join our team. As a Conflicts Assistant, you will play a crucial role in ensuring the Firm's compliance with regulatory obligations by processing and analyzing conflict searches, implementing and maintaining Information...

  • Domestic Abuse Worker

    3 months ago

    Manchester, United Kingdom The Pankhurst Trust (Incorporating Manchester Women's Aid) Full time

    Dear, Idea makers, Boundary Pushers, Problem Solvers, and Forward Thinkers! Are you looking for a rewarding role where every day is different? The Pankhurst Trust brings together Manchester Women’s Aid and the Pankhurst Centre. We work together to ensure the story of the women who won the vote continues to inspire us all, and to ensure that those...

  • AML Compliance Professional

    1 day ago

    Manchester, United Kingdom Hays Specialist Recruitment Full time

    About the RoleHays Specialist Recruitment is seeking an experienced AML Compliance Manager to join the Risk and Compliance team of a large and well-regarded national law firm. The successful candidate will be responsible for managing a range of AML/Compliance matters, working closely with the team to ensure compliance with regulatory requirements.Key...

  • Domestic Abuse Worker

    3 months ago

    Manchester, United Kingdom The Pankhurst Trust (Incorporating Manchester Women's Aid) Full time

    Dear, Idea makers, Boundary Pushers, Problem Solvers, and Forward Thinkers! Are you looking for a rewarding role where every day is different? The Pankhurst Trust brings together Manchester Women’s Aid and the Pankhurst Centre. We work together to ensure the story of the women who won the vote continues to inspire us all, and to ensure that those...

  • Domestic Abuse Worker

    3 months ago

    Manchester, United Kingdom The Pankhurst Trust (Incorporating Manchester Women's Aid) Full time

    Dear, Idea makers, Boundary Pushers, Problem Solvers, and Forward Thinkers! Are you looking for a rewarding role where every day is different? The Pankhurst Trust brings together Manchester Women’s Aid and the Pankhurst Centre. We work together to ensure the story of the women who won the vote continues to inspire us all, and to ensure that those...

  • Marketing Automation Specialist

    1 day ago

    Manchester, United Kingdom Duval Associates Ltd - Recruitment Specialist - UK Full time

    Job Description**Marketing Automation Specialist - Manchester**We are seeking a highly skilled Marketing Automation Specialist to join our team at Duval Associates Ltd - Recruitment Specialist - UK. As a Marketing Automation Specialist, you will play a key role in supporting our marketing team members with strategic expertise, setting up and monitoring...