Job Summary

Specialist in the Surveillance team is primarily responsible for identifying potential trading anomalies and other inappropriate activity as set out below.

Key Responsibilities

Processes:

• Perform the initial review and/or resolve Compliance Surveillance alerts/cases to detect and escalate potential incidences of potential improper employee/client conduct indicative of risk sub types covered by Compliance Surveillance, where applicable including market misconduct, sales practices and product suitability or disclosure of Material Non-Public Information (MNPI), as well as other irregular behaviour that may lead to regulatory / compliance issues.
• Escalate potential issues according to Compliance Surveillance AAA model.
• Perform ad hoc investigations or deep dive into cases where warranted or requested by management.
• Maintain good working relationships with CFCR Advisory, as well as Front and Back Offic...