Market Abuse Surveillance Analyst
We are now recruiting a Market Abuse Surveillance Analyst to support the Financial Crime Team Leader with all matters of preventing, detecting and escalating concerns of market abuse.
What does the role invole?
- You will act as a subject matter expert
- Undertake daily trade surveillance, and investigate alerts to identify potential market abuse.
- Accurately document review findings and outcomes
- Review internal referrals received from the business in relation to potential market abuse and poor market etiquette
- Draft and submit STOR’s to the regulator such as the FCA as agreed by the financial crime team leader.
- Respond to requests for information from the regulator
- Make recommendations for enhancements to existing processes for identifying market abuse risk in line with regulatory change
- Assist in drafting and updating appropriate policies and procedures in relation to market abuse
- Assist with PA Dealing approvals
- Produce Market Abuse related MI
- Conduct Market Abuse training as and when required
What we're looking for:
- Experience in a trade surveillance role – minimum of 2 years’ experience
- Strong knowledge and understanding of the UK and EU market abuse regulations
- Experience of interpreting new and existing regulations and/or business changes and identifying actions the business is required to undertake to ensure adherence to regulatory requirements
- A good understanding of equities, fixed incomes, and funds
- Strong analytical and investigative skills
- Strong prioritisation skills and an ability to work under pressure to meet strict deadlines
- Strong communication skills, both written and verbal, and the ability to build & maintain internal/external relationships with key stakeholders
- Ability to take ownership of specific technical queries/issues through to resolution
- A team player
AJ Bell is one of the fastest-growing investment platform businesses in the UK, with over 432,000 customers using our award-winning platform propositions to manage assets totalling more than £68.7 billion. Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.
There are opportunities for growth and professional development for members wanting to progress within their career including induction training and our study support scheme which is part of our benefits package.
At AJ Bell you can expect a friendly working environment with a strong sense of team work, we have a great sense of pride in what we do and this is reflected in our guiding principles.
In return for your hard work you will be entitled to:
- Competitive starting salary
- 24 days holiday increasing up to 30 days with service, plus bank holidays
- Holiday buy/sell scheme
- Discretionary annual bonus
- Contributory pension scheme
- Paid study support for qualifications
- Enhanced maternity/paternity scheme
- Bike loan
- Season ticket loan portal
- Discounted PMI and Dental
- Free gym
- Free social events
- Plus much more