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Market Surveillance Analyst

  • Location: Blackpool
  • Salary: c £35,000 pa per year
  • Job Type:Permanent

Posted almost 3 years ago

  • Sector: Compliance
  • Contact: Paul Clayton
  • Contact Email: pclayton@merje.com
  • Expiry Date: 18 July 2021
  • Job Ref: PC/17630

The purpose of the role is to reinforce the first line control framework and to undertake surveillance of the business with the objectives of preventing breaches, identifying breaches, near misses, procedural problems or poor behaviours as close to their occurrence as possible and to address issues in a timely manner.

Key responsibilities include:

  • Undertake first line surveillance and quality assurance monitoring on a daily, weekly, monthly and ad hoc basis, as required by the task.
  • Maintain internal controls where required by the task.
  • Build a rapport with the business and to promote accountability within the first line.
  • Undertake trend analysis of issues, present these in reports and communicate them to management (including management committees).
  • Propose control enhancements
  • Liaison with the firm’s third-party surveillance vendors as required.
  • Assisting with the regular review of the calibration of surveillance systems utilised by the firm. 
  • Work closely with Compliance Advisory and Compliance Monitoring and escalate issues to them accordingly.
  • Work closely with Compliance Advisory to ensure that the firms Market Abuse Risk Assessment is regulatory reviewed and updated where required.
  • Undertake external reporting, where required by the task.
  • Promote a compliance culture throughout the business through ensuring appropriate behaviours and actions of employees.
  • Develop and maintain detailed knowledge of the firm’s business and regulatory framework

The Person:

  • Detailed knowledge of the wealth management /stockbroking industry.
  • Detailed knowledge of UK Financial Markets, equities, and bonds.
  • Good working knowledge of FCA Conduct of Business and Market Abuse Regime rules.
  • Ability to navigate and interpret the FCA Handbook.
  • At least 2-5 years’ experience in Compliance.

 

Please note, should feedback not be received within 28 days due to the large volume of applications, unfortunately your application has been unsuccessful. However, we may be in touch with similar relevant opportunities.