Location: London (Queen Victoria Street) For a complete understanding of this opportunity, and what will be required to be a successful applicant, read on.
Key Responsibilities Act as first reviewer of exceptions arising from the surveillance tools from a market abuse and anti-competition perspective.
Analyse and review all exceptions through to full resolution, identifying areas requiring further investigation and escalate to the Head of Global Surveillance or Compliance where necessary.
Upon escalation, continue to provide any relevant analysis until the issue is resolved.
This will include but not limited to: Prepare written reports with evaluative commentaries relevant to the matter being reviewed.
Conduct targeted surveillance from a market abuse perspective on higher risk events, such as IPOs, mergers, investment in a new Emerging Market.
Provide a written report with evaluative commentaries.
Conduct surveillance on trades as first line to ensure the firm is achieving best execution for its clients.
Provide and present analysis and development of reports related to all aspects of account activities, market manipulation and broker-dealer practices and procedures where required.
Provide and present reporting on the firm's trading activity for management, committees and groups, including assembling and analysing data patterns to indicate unusual account activity and identifying areas requiring additional investigation.
Write, disseminate and maintain documented processes for tasks as well as house and team documentation.
Develop enhancements to existing surveillance controls, including delivering training on any enhancements and ensuring procedure documentation is updated.
Design and develop new procedures for addressing requirements, particularly market abuse related.
Monitor regulatory updates and findings, reports, working papers to ensure the firm's adherence to external and internal compliance standards.
Develop findings and procedure reports involving evaluative commentaries for review and action if required.
Attend key business committees, oversight groups and external events where necessary, providing effective contribution as a representative of the Global Surveillance Team, Investment Services Department and organisation where relevant.
Design, implement and deliver training where required to ensure employees have relevant, up to date knowledge.
Lead on Internal Audit, External Audit and Compliance Monitoring reviews as required.
This includes responding to questions and inquiries on policies and participating in designing new procedures and methodologies to address factors identified in audits.
Conduct daily scans of sanctions screening database to identify any new risks that could affect the firm.
Analyse all flagged alerts and produce client profiles and/or true match hit packs for review and approval by the Business Sanctions Coordinator.
This task will include maintaining alert logs, LNBI notes, providing screening management information and review and maintenance of the AML sanctions screening process.
Provide guidance and training to less experienced Surveillance employees as necessary.
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