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    Market Abuse Manager - London, United Kingdom - Compliance Professionals

    Compliance Professionals
    Compliance Professionals London, United Kingdom

    1 week ago

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    Description
    Job Description

    THE COMPANY:

    Our client is a successful brokerage firm, providing innovative ways to trade Stocks, ETFs, Forex, Commodities, and more.

    THE RESPONSIBILITIES:

    • Undertake daily trade surveillance activities using the firm's automated surveillance tool and investigate alerts in a timely manner.
    • Identify risks/issues and discrepancies and proactively escalate to the Head of Compliance and the MLRO for secondary review as required.
    • Conduct in depth investigations into potential market abuse instances and improper activity.
    • Accurately document review findings and outcomes and support further investigation of suspicious behaviour as required by providing expert insight and technical assistance.
    • Build relationships with the Front Office and investigate internal escalations when necessary.
    • Draft STOR forms ready for submission to the relevant regulators such as FCA as required.
    • Promptly investigate and communicate operational issues arising from trade surveillance activities with relevant stakeholders, e.g., IT for data related issues.
    • Make recommendations for enhancements to the internal market abuse framework.
    • Make recommendations for enhancing processes for identifying market abuse risk in line with regulatory change.
    • Maintaining the Market Abuse Risk Assessment.
    • Assisting in drafting and updating appropriate policies and procedures in relation to market abuse as required.
    • Conduct reviews in accordance with the Compliance Monitoring Plan.
    • Assist in responding to regulatory enquiries on market abuse issues.
    • Assisting with PA Dealing approvals.
    • Conduct horizon scanning and keep abreast of regulatory changes and updates in respect of market abuse.
    • Creating and delivering face to face market abuse training to the business as required.
    • Support other members of the team in other general compliance related activities.

    EXPERIENCE REQUIRED:

    • Sound compliance monitoring and surveillance experience (3yrs +) within a financial services firm (brokerage is preferable).
    • Good relevant experience in a trading, monitoring or surveillance position at a financial services firm (brokerage is preferable).
    • Strong knowledge of market abuse regulation and conduct regulatory requirements and being able to identify risks in relation to potential Market Abuse is essential.
    • Good working knowledge of various products - equities, equity derivatives, FX, ETFs.
    • Strong IT skills familiar with using automated monitoring solutions / tools and Microsoft Word and Excel.
    • Knowledge of TZ surveillance system is a plus.

    For further information please contact Natalie Eshelby

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