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 uncover potential market misconduct.
  • Thoroughly document findings and conclusions from investigations.
  • Evaluate internal referrals related to suspected market abuse and inappropriate market behavior.
  • Prepare and submit Suspicious Transaction and Order Reports (STORs) to regulatory bodies as directed.
  • Draft and file Suspicious Activity Reports (SARs) with the National Crime Agency (NCA).
  • Respond to inquiries from regulatory authorities.
  • Propose enhancements to current processes for detecting market abuse risks in accordance with regulatory updates.
  • Assist in the formulation and revision of relevant policies and procedures concerning market abuse.
  • Generate related Management Information (MI).
  • Support the design and delivery of training sessions for the broader organization as needed.
  • Collaborate with the Financial Crime Manager on continuous improvement initiatives.

Qualifications:
  • Comprehensive knowledge of equities, fixed income, and investment funds.
  • In-depth understanding of the 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 verbal and written communication skills, with the ability to foster and maintain relationships with key stakeholders.
  • Capability to take ownership of technical queries and drive them to resolution.
  • Ability to work independently while being a collaborative team member.
  • Self-driven with a robust work ethic and the capacity to manage multiple tasks effectively.

About AJ Bell:

AJ Bell is a rapidly expanding investment platform provider in the UK, offering a diverse range of award-winning solutions tailored for everyone, from seasoned financial advisors to novice investors. With over 503,000 customers managing assets exceeding £80.3 billion on our platform, we are committed to simplifying the investment process and empowering individuals to take charge of their financial futures.


Benefits:
  • Generous holiday entitlement starting at 25 days, increasing with service.
  • Flexible holiday buy and sell scheme.
  • Choice of pension plans with matched contributions up to 6%.
  • 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 options for travel season tickets.
  • Enhanced parental leave policies.
  • Opportunities for personal development and professional training.

Work Environment:

At AJ Bell, we prioritize a culture of collaboration and connection. Our hybrid working model requires a minimum of 50% of working time to be spent in the office, fostering relationship-building and team cohesion.


AJ Bell is dedicated to maintaining a respectful workplace that offers equal employment opportunities to all applicants. We celebrate diversity and do not discriminate based on any protected characteristics.

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