Market Abuse Risk Management Specialist
1 month ago
Compliance Professionals is seeking a seasoned Trade Surveillance Manager to lead our securities surveillance function. With a proven track record in people management and regulatory expertise, you will be responsible for conducting trade surveillance, investigations, and regulatory reporting.
- Your key responsibilities include managing the surveillance function, working closely with analysts to conduct trade surveillance and front office monitoring activities
- You will conduct thorough investigations into potential abusive and/or non-compliant behaviors, documenting findings and preparing detailed regulatory reports
- Develop and fine-tune our surveillance tools and alerting suite to ensure effective risk-based monitoring
- Assist in producing our Market Abuse Strategy, including our firm's market abuse risk assessment and employee education program
- Provide expert advice and assistance to front office staff in resolving compliance and regulatory issues
- Liaise and communicate effectively with internal stakeholders to ensure a consistent and effective risk-based approach
- Engage with external bodies to investigate and resolve regulatory and/or exchange enquiries
- Present to senior management on surveillance activities and developments
- Resolve Surveillance issues to satisfaction of Company and clients in compliance with regulatory obligations
- Develop and maintain a robust surveillance framework to ensure it remains fit for purpose
- Perform ad-hoc Compliance duties as required
- A minimum of 5+ years' relevant experience in trade surveillance/market abuse financial Compliance related role
- Proficiency in trade surveillance systems and software
- Ability to demonstrate in-depth understanding of the regulatory framework relevant to this role, whilst practicing effective risk management
- Proven experience as a well-rounded and highly regarded compliance (or equivalent) professional
- Proven and engaged people manager with demonstrable experience of, and genuine interest in, leading, developing and enhancing teams of high potential professionals
The estimated salary range for this position is between $120,000 - $180,000 per annum, depending on location and qualifications.
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