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Market Abuse Surveillance Specialist

Information About This Job

Job Title: Market Abuse Surveillance Specialist
Contract Type: Permanent
Location: London
Industry:
Contact Name: Mark Foy
Contact Email: mfoy@lawsonchase.com
Job Published: 2 months ago

Job Description

We are seeking a Market Abuse Surveillance Specialist on behalf of our client, a leading investment advisory firm. You will be responsible for designing and implementing the required Market Conduct policies and procedures, including appropriate operational and Compliance oversight.


 

Key Responsibilities

  • Serves as a trusted specialist for market abuse matters, including, ongoing monitoring, detection of potential breaches and training requirements.

  • Uses advanced knowledge to design and implement new policies, procedures, and controls to ensure compliance with applicable market abuse laws and regulations across Europe.

  • Develops and coordinates compliance oversight efforts and projects across the company to protect the firm’s reputation.

  • Actively seeks for opportunities to continually improve the Compliance Programme for firm, by implementing compliance measures that are aligned with firm’s overall strategic goals.

  • Utilises risk management techniques and business area expertise to develop, maintain and test relevant policies and procedures. Handles multiple assignments simultaneously from conception through execution and implementation of recommendations. Coordinates, prioritises and actively manages tasks as needed to meet deadlines.

  • Maintains a robust procedure for assessing and investigating potential market abuse matters and presents key findings and recommendations to business and Compliance management. Elevates issues and identifies priorities. Tracks follow-up items to ensure they are appropriately resolved. Demonstrates initiative and creativity in recommending and implementing solutions to business contacts and Compliance management.

  • Fosters lines of communication between, and with, business contacts, the Legal Department, Compliance Department colleagues, and other control groups across Europe and other regions. Participates in activities and efforts as required with other Compliance teams and business partners in other regions.

  • Develops and maintains a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Stays abreast of current market, enforcement action, regulatory and industry relevant news. Serves as a technical expert on market abuse compliance requirements.

  • Prepares board reports and other applicable management reporting.

  • Participates in developing and delivering training and education to the business and compliance colleagues, including presentations at staff meetings and formal trainings.

  • Assists in responding to requests for information from regulators as needed. Participates in and actively supports corporate initiatives. 12. Participates in special projects and performs other duties as assigned.

 

Skills & Experience

  • Undergraduate degree or equivalent combination of training and experience. BS or BA in a business related field of concentration preferred.

  • Minimum three years business experience. Regulatory, compliance, investment, or auditing experience preferred.

  • Knowledge of MAR and FCA rules and regulations commensurate with experience level. Knowledge and experience of UK

  • and/or Irish UCITS (investment funds and/or ETFs) preferable.

  • Broad understanding of firm’s business and the investment management industry; knowledge of and experience with

  • FCA, CBI and SEC regulations.

  • Excellent verbal and written communication skills and organized approach including strong persuasive and negotiation skills.

  • Excellent relationship management skills.

  • Excellent organizational skills, attention to detail, and ability to work independently.​

  • Demonstrated ability to function in a deadline oriented, fast paced and rapidly changing environment. Effectively handles

  • multiple priorities and initiatives.

  • Strong critical thinking and analytical skills.

  • Ability to elicit trust and confidence and maintain composure and a positive approach in challenging situations.

Ref: | Published: 03 Jan 2019