This 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