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Job Location | London |
Education | Not Mentioned |
Salary | Competitive salary |
Industry | Not Mentioned |
Functional Area | Not Mentioned |
Job Type | Permanent , full-time |
THE RESPONSIBILITIES: Conduct Trade surveillance for trading activity across the business areas to identify potential instances of market abuse through the analysis of alerts generated by the surveillance platform Work with members of the Dealing Deskto document and escalate potential market abuse to the SMF16/17 and if required submit Suspicious Transaction and Order Reports (STOR/SAR) to the appropriate regulator Identify opportunities to enhance the surveillance platform and implement changes. Assistwith developing Management Information that provides insight to the efficiency and effectiveness of the market surveillance operation including drafting commentary for reporting to key stakeholders Develop frameworks to reduce the risk of market abuse Assistin developing, implementing, maintaining and enhancing current policies, procedures, and controls EXPERIENCE REQUIRED: Strong knowledge of investment services, ideally CFDs, equities, commodities Comprehensive understanding of the Market Abuse Regulation (MAR)and 5th Money Laundering Directive Genuine interest in, and keeping abreast of regulatory changes Excellent interpersonal and communication skills, interacting effectively at all levels Ability to operate effectively as a team member Methodical, quick thinkerwith excellent organisational skills Ability to manage multiple investigations and projects simultaneously Proficient at identifying problems and working efficiently to resolve Strong drive to continually improve and develop working practices and industryknowledge Proactive in initiating ad-hoc project work to improve department processes