Responsibilities
1. To develop the surveillance effectiveness framework
2. To effectively manage Staff (1 report)
3. To manager the Annual Risk Assessment
4. To perform ongoing assurance of Surveillance controls in line with an annual plan.
5. To develop and deliver training to team members and firm wide staff training on matters relevant to market conduct and financial crime.
6. To carry out transaction surveillance as required.
7. To perform four eye review of surveillance alerts and manual monitoring tests
8. To develop new tactical surveillance tests using Excel to fill coverage gaps ahead of strategic implementation.
9. To represent Surveillance at various Bank forums,mittees and working groups.
10. To identify and escalate potential market misconduct or other suspicious activity.
11. To maintain knowledge and understanding of applicable regulation
12. To assist with investigations and requests for information from regulatory authorities and exchanges.
Preferred Qualifications and Experience
13. Fluent mandarin language (written and spoken)
14. Experience of working in a regulated environment and in a Market Abuse Surveillance team
15. Experience working with market, client and firm static data
Knowledge, technical skills and expertise:
16. Understanding of relevant Market Abuse laws, regulations and guidelines
17. Understanding of Financial Crime rules, regulations and industry guidelines, including rules and regulations on anti-money laundering ( the Joint Money Laundering Steering Group (JMLSG) guidance), counter-terrorism, anti-bribery and corruption, sanctions and fraud.
18. Understanding of client onboarding processes
19. Knowledge of FCA relevant Market Conduct rules
20. IT skills including proficient level Microsoft Excel
21. Strong numeracy skills with demonstrable skills in thepilation and manipulation of data
22. Drafting skills – ability to draft to a high standard.
Job ID Rootssurveillance