The Trade Surveillance Manager will lead a team in reviewing trading activities for suspicious behavior, conducting investigations into market abuse, and collaborating with departments to ensure compliance with regulations. This role involves developing policies, monitoring electronic communications, and training staff on compliance matters.
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.
- Monitoring and closing of 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.
- Calibration and tailoring of monitoring systems to ensure that alerts are generated optimally and reduce false positives across trade surveillance and electronic communications systems.
- Producing and checking 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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