Full job descriptionThis role isn’t offering sponsorship, please only apply if you have the right to work in the UK already.


My client provides original and innovative trading and investment ideas, with a dedicated focus on risk arbitrage, special situations, relative value and event-driven opportunity.


Role:


*Undertake daily trade surveillance activities to address and investigate alerts and identify and investigate potential market abuse and improper activity.
*Identify risks/issues and discrepancies and proactively escalateto the Head of Compliance and the MLRO for secondary review as required.
*Accurately, the document reviews and the findings and outcomes and supports furtherinvestigation of suspicious behaviour as required by providing expert insight and technical assistance.
*Build relationships with the Front Office and investigate internalescalations when necessary.
*Draft STOR is 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 existing processes for identifying market abuse risk in line with regulatory changes.
*Assisting in draftingand updating appropriate policies and procedures in relation to financial crime as needed.
*Conduct reviewsin accordance with the Compliance Monitoring Plan;
*Assist in responding to regulatory enquiries;
*Assisting with PA Dealingapprovals and monitoring of the Restricted and Watch Lists


Successfulcandidates will have:


*Extensive compliance monitoring and surveillance experience within a financialservices firm (brokerage is preferable)
*Extensive relevant experience in a trading,monitoring or surveillance position at a financial services firm (institutional brokerage is preferable, at least 5-6 years’ experience).
*Strong knowledge of market abuseregulation and conduct regulatory requirements and being able to identify risks in relation to potential Market Abuse is essential;
*Deep knowledge of various products-cash equities, equityderivatives, fixed income,FX options;
*Excellent communication skills,both written and verbal, to deal with key stakeholders including front office and Senior Management;
*Very motivated with strong abilityto prioritise
*Must be able to demonstrate an ability to use his/herinitiative to problemsolve with the minimum of day-to-day supervision.
*Strong IT skills familiar with using automatedmonitoring solutions / tools and Microsoft Word and Excel, including data manipulation
*Knowledge of TZ suveillance system is a plus