Job purpose
As a member of the 2LoD alert investigations team, the individual will be responsible for the management, co-ordination and conduct where directed of investigations relating to instances of significant market misconduct arising across the Group and the Global markets business in particular.
Key responsibilities
Market misconduct investigations:
* Act as the EMEA MAS team’s Legal expert and assist in relation to formal investigations.
* Depending on the ownership, scope, subject and complexity of these cases, either coordinate / contribute to the relevant investigations and reporting.
* Ensure relevant analysis of data and records, prepare for and conduct interviews, organise / lead investigation team and drive the investigation to a timely and meaningful conclusion.
* Liaise with Legal, HR and Compliance teams as necessary in the conduct of these investigations.
* Assist in producing clear and concise reports regarding the outcome of the investigation (or relevant part of investigation), make recommendations.
* Act as the Legal point of contact for Compliance teams and in particular the Whistleblowing Referents related to cases where market abuse expertise is needed.
* Interact with and present to Bank Disciplinary and Conduct escalation processes/committees where necessary.
* Develop and maintain a close working relationship with Compliance and other colleagues on market abuse surveillance investigation matters.
* Maintain strict confidentiality when managing whistleblowing and other confidential cases.