Responsibilities
1. Your primary area of responsibility will focus on market abuse / surveillance, where you will lead the management and review of market abuse alerts utilising a range of automated / technology tools.
2. Collaborate withpliance colleagues to identify and implement opportunities to enhancepliance monitoring capabilities.
3. Contribute topliance's upstream regulatory risk and horizon scanning initiatives - considering proposed new / amended regulations and considering their potential impact with a view towards assessing additional monitoring needs.
4. Engage with a range of stakeholders as required in connection with the escalation of surveillance alerts and patterns.
5. As a member ofpliance, you along with your colleagues will support the development of the firm'sernance arrangements and internal control framework through the development and iteration of robust policies and procedures, promoting apliance culture throughout the firm.
6. Participate in Global collaborative efforts to harmonize and scale the Firm's monitoring efforts.
Experience & Qualifications
7. Experience within thepliance function of a regulated investment firm / investment bank is essential - 3 years minimum.
8. Technical abilities, in particular SQL, would be highly advantageous.
9. Market abuse / surveillance experience is essential - 3 years minimum.
10. Strong interest inpliance, trading and automation.
11. Knowledge of EU / UK legislation relevant to the firm MiFID II, MiFIR, IFR / IFPR, MAR, AML, IAF, etc.
12. Ability to manage multiple priorities and ability to manage tasks using own-initiative.
13. Experience in a firm operating a regulated market, MTF or OTF would be highly advantageous.
14. Formal qualifications relating to financial servicespliance and/or qualifications relevant to apliance role would be advantageous.
The Process
After resume review, we will reach out to setup an initial HR interview.
This will be a hybrid role, with flexibility between working from home and in the office. Job ID 6003610002