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Trade Surveillance Manager

4 months ago

London, UK, United Kingdom Meraki Talent Full time
Meraki Talent are working with a cutting-edge fintech company dedicated to revolutionizing the financial industry through innovative technology solutions. Their team is composed of dynamic individuals who are passionate about creating positive change in the financial sector.

Position Overview:
We are seeking a highly skilled and motivated Trade Surveillance Manager to join our client's compliance team. The Trade Surveillance Manager will be responsible for ensuring compliance with regulations related to market abuse and insider trading. This role requires a deep understanding of financial markets, regulatory requirements, and the ability to effectively manage risk.

Responsibilities:
  • Develop and implement policies and procedures to prevent market abuse and insider trading.
  • Monitor trading activities for suspicious behavior and potential violations of regulations.
  • Conduct investigations into potential instances of market abuse or insider trading.
  • Collaborate with other departments, including legal and compliance, to ensure adherence to regulatory requirements.
  • Stay abreast of changes in regulations and industry best practices related to market abuse and insider trading.
  • Provide training and guidance to employees on compliance-related matters.
  • Liaise with regulatory authorities as needed regarding market abuse and insider trading issues.
Qualifications:
  • Bachelor's degree in finance, economics, business, or a related field. Advanced degree or professional certification (e.g., CFA, CPA, CAMS) is a plus.
  • Minimum of 3 years of experience in compliance, risk management, or a related field within a financial services firm (brokerage is preferable).
  • In-depth knowledge of regulations related to trade surveillance and insider trading (e.g., MAR, Dodd-Frank Act, SEC regulations).
  • Strong analytical skills and attention to detail.
  • Excellent communication and interpersonal skills.
  • Ability to work independently and effectively prioritize tasks in a fast-paced environment.
  • Experience working with regulators and conducting internal investigations is preferred.
  • Knowledge of financial markets and trading practices is a plus.