Job Description
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...
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