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

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