We are currently looking to hire a Trade Surveillance Manager in London to lead the team with reviews, investigations, and reporting of STORs.
*** Please note that this role is onsite and would require 5 days per week in our London office near Liverpool Street. ***
ROLE AND RESPONSIBILITIES
* Develop and implement policies and procedures to prevent market abuse and insider trading.
* Monitor trading activities for suspicious behaviour and potential violations of regulations.
* Conduct investigations into potential instances of market abuse or insider trading.
* Collaborate with other departments, including legal and compliance, to ensure adherence to regulatory requirements.
* Heading up a team of 4 market surveillance specialists.
* Stay abreast of changes in regulations and industry best practices related to market abuse and insider trading.
* Monitor and close market surveillance alerts and electronic communications to identify suspicious behaviour that could be indicative of market abuse, insider trading, financial crime or inappropriate market conduct.
* Calibrate and tailor monitoring systems to ensure that alerts are generated optimally and reduce false positives across trade surveillance and electronic communications systems.
* Produce and check reliable MI on surveillance activity for the Board and governance committees on the market abuse governance and the control framework.
* Provide training and guidance to employees on compliance-related matters.
* Liaise with regulatory authorities as needed regarding market abuse and insider trading issues.
KEY SKILLS AND EXPERIENCE
* Relevant experience in financial services firm (brokerage is preferable).
* In-depth knowledge of regulations related to trade surveillance and insider trading (e.g., MAR, STORs).
* Strong analytical skills and attention to detail.
* Excellent communication and interpersonal skills.
* Ability to work independently and effectively prioritize tasks in a fast-paced environment.
* Experience working with regulators and conducting internal investigations is preferred.
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