About the Role: We are seeking a Market Abuse/Surveillance & Compliance Manager who will play a critical role in ensuring the integrity of our operations by overseeing both internal compliance and market surveillance activities. The ideal candidate will be responsible for identifying, monitoring, and managing compliance issues, with a focus on preventing and addressing conflict of interest, insider dealing, and internal fraud. This position will also be responsible for market surveillance efforts, ensuring the detection and investigation of potential fraudulent or manipulative trading activities.
Key Responsibilities:
1. Internal Compliance Management - Assess and manage risks related to conflict of interest, insider dealing, and internal fraud. Develop and enforce compliance policies to prevent and address internal conflicts and unethical behavior. Collaborate with internal departments to ensure adherence to regulatory and ethical standards.
2. Market Surveillance and Alert Analysis - Manage the analysis of client behavior for potential abusive, manipulative, or illegal trading practices. Independently retrieve and assess all necessary information from clients and exchanges to conduct thorough investigations. Manage and configure alerting software to optimize detection of suspicious activities.
3. Compliance Notifications and Reporting - Report potential market abuse or internal compliance issues to senior management. Provide clear and detailed documentation of investigations and analysis for decision-making purposes. Contribute to management reports with insights on compliance issues, client behavior analysis, and trend statistics.
Qualifications:
1. Bachelor’s degree in Finance, Law, or a related field.
2. Minimum of 3 years of experience in compliance, with a strong focus on internal compliance, market surveillance, or risk management.
3. Demonstrated knowledge of market trading procedures, processes, and regulations, particularly in EU.
4. Strong analytical skills, with the initiative to proactively address and resolve compliance challenges.
5. Excellent command of English; fluency in additional languages is a plus.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal
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