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- London, UK
- Full-time employment
- Posted on 07 Sep, 2018
- Start date:
- Visa Sponsor
You will ensure adherence to market conduct (MAR and related ESMA regulations) to reduce the risk of the business being used for the purposes of market related financial crime
This Financial Services- Online Brokerage requires a Compliance Monitoring and Surveillance Analyst to join their business and team in London
* Carrying out trade surveillance and monitoring for transactions on EEA markets, including OTC and any product(s) that the business offers;
* Assisting with the on-going design and development of relevant market surveillance reports;
* Assisting with the design and development of trade reporting;
* Carrying out best execution monitoring on EEA markets, OTC and other products and following up on any remedial action;
* Assisting with the on-going design and development of relevant best execution surveillance reports;
* Assisting with written responses market abuse enquiries from the FCA and other national regulatory bodies;
* Supporting and coordinating the detection and mitigation of potential money laundering risk;
* Assisting in the training of relevant staff to ensure continuing competence in accordance with the FCA regulations;
* Keeping up to date with changes in market conduct regulations, FCA conduct of business and SYSC regulations; and
* Keeping up to date with EU and with international developments in relevant areas of regulations and law.
The successful Financial Services- Compliance Monitoring and Surveillance Analyst will have the following:
* Bachelor's degree preferred: business, finance, accounting or technology-related preferred
* Market surveillance, or related surveillance and compliance knowledge in investment firms
* Brokerage, bank or securities industry knowledge
* Knowledge of FCA market conduct rules and market regulations
* Knowledge of FCA COBS rules regarding best execution etc.
* Securities industry qualifications preferable
* Must be a self-starter
* Must have good analytical skills
* Must have good oral and written communication skills
* Must have a strong technical orientation and be comfortable with computers and technology as applied to surveillance and compliance
* Must understand the nature and confidentiality of market abuse and AML related information
* Must be able to work in a cordial, small-to-medium office environment
Location: City of London
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Welcome to the Michael Page global company profile.
Michael Page has four decades of expertise in professional services recruitment. We were established in London in 1976, and over this period we've grown organically to become one of the best-known and most respected consultancies, with an office network spanning six continents.
- Recruitment & HR
- in London, UK
- 1,001-10,000 employees
- Founded in 1976