Market Abuse Associate

Rev & Regs are recruiting for a Market Abuse Associate position for a well-established FinTech focussed Investment Management & Trading organisation in the City of London.

The Market Abuse Associate will support the existing Market Abuse Manager, in managing all suspicious activity relating to potential Market Abuse.

Responsibilities:

• Undertake daily trade surveillance activities using the firm’s automated surveillance tool and investigate alerts in a timely manner.
• Identify risks/issues and discrepancies, escalating to the Management for secondary review as required.
• Conduct in depth investigations into potential market abuse instances and suspicious activity.
• Reporting on review findings and outcomes and support further investigation of suspicious activity.
• Draft STOR forms ready for submission to regulators such as FCA etc.
• Assist in maintaining appropriate desk-based policies in relation to market abuse.
• Assist in responding to regulatory enquiries on market abuse issues.
• Undertake horizon scanning and keep abreast of reg changes for market abuse.
• Develop market abuse training material to be delivered face to face to the business.
• Assist in creating and maintaining market abuse related MI.
• Investigate internal escalations when necessary.
• Complete ad hoc tasks as required.

Experience:

• 1-3 years Market Abuse & Trade Surveillance experience.
• Good knowledge of Compliance rules in the FCA Handbook (COBS, MAR, SYSC).
• Ideally background in Brokerage/Trading firm.

Please apply if you feel you have the relevent skills and background.