Senior Compliance Associate - London, United Kingdom - Compliance Professionals
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 senior members of the team in other general compliance related activities.
EXPERIENCE REQUIRED:
- Extensive compliance monitoring and surveillance experience (5 yrs) within a financial services firm (brokerage is preferable).
- Extensive 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.
- Deep 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.
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