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You will be part of a team responsible for undertaking thematic reviews, regular testing and market abuse surveillance for the global business.
Perform daily analysis of trade and communications alerts with a focus on market abuse.
Perform targeted manual analysis on trading activity, including appropriate identification and investigation of emerging trends.
Perform regular testing and thematic reviews in accordance with the compliance monitoring plan.
Prepare management information as required.
Liaise with key stakeholders to understand investment and trading strategies with respect to market abuse surveillance.
Liaise with key stakeholders to understand business processes, communicate identified issues, and verify factual accuracy of issues with respect to regular testing and thematic reviews.
Track and validate the agreed upon management actions.
Escalate issues to Managers.
Collaborate with individuals within the wider Risk and Compliance department and other control functions.
Carry out other duties as assigned
Compliance Analyst (Trade Surveillance)
LondonPosted 1 weeks ago
Full-timehybridmid