Compliance & Surveillance Associate/Analyst
Excellent Compliance & Surveillance Associate/Analyst opportunity
Join a highly skilled team with a growing global presence
About Our Client
An established global technology and institutional investment business
Investigate and document investigations of alerts and their resolution using the firm's alert case management tool, including meaningful secondary analysis where appropriate.
Record and investigate all inquiries raised by member's/ participant's regarding another member's/ participant's trading behaviour for breaches of trading protocol or potential market abuse. Participate as required in internal investigations of potential breaches of regulatory requirements and policies.
Maintain compliance monitoring plan, and associated systems and controls to ensure compliance with internal rules, regulatory and execution venue rules, and generate appropriate MI.
Oversight of client on-boarding to ensure compliance with AML, client categorisation and system access rules and requirements.
Approve and updating of Compliance logs, gifts and entertainment, outside business interests and private investments; oversight of PCF registrations, including training and competency; oversight of compliance regulatory reporting (e.g. ONR filings etc.).
Assist in thematic and ad hoc regulatory visits by the CBI and timely implementation of any recommendations.
The Successful Applicant
Demonstrated relevant experience - ideally at least 4 years
Experience working at an exchange or multilateral trading facility (MTF), or at a traditional sell-side brokerage/investment firm within their market monitoring, compliance monitoring or surveillance group
A genuine interest in financial markets, reads actively and is abreast of current state of market and economy
Knowledge of Market Conduct and definitions of market abuse
Ability to analyse trading and system data to identify potential market abuse and trading trends, conduct secondary analysis as appropriate and document resolutions and conclusions
Strong industry knowledge is essential, and the candidate must keep current with the latest in the securities and investment industries
What's on Offer
Competitive package on offer