Market Abuse Surveillance Specialist - Asset Management Compliance Market Abuse Surveillance Specialist - Asset  …

Miryco Consultants Ltd
in London, United Kingdom
Permanent, Full time
Last application, 01 Dec 21
75,000 - 90,000
Miryco Consultants Ltd
in London, United Kingdom
Permanent, Full time
Last application, 01 Dec 21
75,000 - 90,000
Posted by:
Maddie Flisher • Recruitment Consultant
Posted by:
Maddie Flisher
Recruitment Consultant
Miryco are working with a leading global Asset Manager who are hiring a Senior Market Abuse Surveillance (MAS) Specialist to take ownership of the company's MAS programme and activities.

Required:

 

  • Ownership of the company's European market abuse surveillance programme with use of electronic and voice communication surveillance. Serves as a trusted specialist for global market abuse matters, including, ongoing monitoring, detection of potential breaches and training requirements. Operate as business authority and product owner.
  • Leads efforts to enhance surveillance systems, design and implementation of new policies, procedures, and controls to ensure compliance with applicable market abuse laws and regulations across the globe. Monitors, reviews and calibrate tolerances for alert generators.
  • Lead internal investigations.. Investigate exceptions raised and carry out investigations into issues, errors and unusual patterns of trading. Effectively raising relevant issues in line with the company's procedures in a timely manner.
  • In addition to market abuse surveillance the role will encompass monitoring of the best execution and trade allocations.
  • Continually improve the Compliance Programme. Implement compliance measures that are aligned with the company’s overall strategic goals.
  • Utilises risk management techniques and business area expertise to develop, maintain and test relevant policies and procedures. Balances multiple assignments simultaneously from conception through to execution and implementation of recommendations. Coordinates, prioritises and actively handles tasks as needed to meet deadlines.
  • 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 authority on market abuse compliance requirements.
  • Prepares board reports and other applicable management reporting on monthly and quarterly basis.
  • Develops and delivers training and education to the business and compliance colleagues, including presentations at staff/team meetings.
  • Participates in and actively supports corporate initiatives.
  • Participates in special projects and performs other duties as assigned.

 

Responsibilities:

 

  • Undergraduate degree or equivalent combination of training and experience.
  • Minimum of 5 years experience
  • Knowledge of MiFID, 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.
  • Prior knowledge of order management systems, surveillance tools ideal (Charles River, Aladdin, Bloomberg TCA)
  • Critical attitude, able to query set of data pulling out relevant information to understand trade rationales.
  • Mathematically astute, able to expertly analyse large datasets.
  • Detailed, methodical approach to investigating unusual patterns
  • Understanding of capital markets with multi-asset knowledge – equities, fixed income, derivatives.
  • Excellent verbal and written communication skills and organised approach including strong persuasive and negotiation skills.
  • Excellent relationship management skills (for both within a growing global Compliance function and external to Compliance).
  • Excellent organisational skills, attention to detail, and ability to work independently.
  • Proven ability to function in a deadline oriented, fast paced and constantly evolving environment. Effectively handles multiple priorities and initiatives.
  • Ability to elicit trust and confidence and maintain composure and a positive approach in challenging situations.

 

Location: Central London (hybrid working)

Salary: Competitive Basic and good bonus.

 

Shortlist: Please note our client is unable to offer sponsorship for this opportunity. Finally, should you not be contacted within five working days of submitting your application, then unfortunately you have not been shortlisted for the opportunity. We will however be in touch should there be any other opportunities of potential interest that are suiting to your skills.

 

For similar roles, please follow Miryco Consultants Ltd on LinkedIn.

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