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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 Surveillance Analyst will be responsible for supporting the Compliance team in performing their primary regulatory responsibilities. The Surveillance Analyst will therefore be responsible for assisting and undertaking the following tasks: From informationalerted from the Brokerage business, the venue operator and/or Compliance themselves, detection of suspicious orders and transactions with respect to the Market Abuse Regulation ("MAR"), in order to detail analysis/ assessment of potentially suspicious transactions/ordersand to submit reports (STORs) and suspicious activity reports (SARs) to the applicable regulatory body in consultation with the Head of Surveillance, and maintain data also in relation to near misses for reporting to senior management Assisting with the outsourcingof surveillance work performed in London for the Head of Continental European Compliance Daily review of trade surveillance alerts, tracking actions taken within the system in accordance with the Compliance Surveillance Procedures; Escalating alerts reviewedwhere sufficient evidence of a potential suspicion of Market Abuse and/or Financial Crime exists within the alert Other ad hoc project work Key Skills Detailed working knowledge of the FCAs Conduct of Business Rules, MIFIR/MIFID II and the Market Abuse Regulation;Detailed knowledge of equity and equity-linked trading venue requirements Proven track record of Compliance Monitoring of an equities business Knowledge of EU equity exchanges and trading platform market conduct rule This contract is to start as soon as possible- 3 months but likely to extend. Please reach out to Danos Consulting for further details.