Trade Surveillance Analyst

Job Description

Due to continued business growth, we are now hiring for an experienced Market Abuse Surveillance Analyst to support the Financial Crime Manager with all matters of preventing, detecting and escalating concerns of market abuse.

Key accountabilities and responsibilities: 

• Act as a subject matter expert
• Undertake daily trade surveillance and investigate alerts to identify potential market abuse.
• Accurately document findings and outcomes of investigations
• Review internal referrals received from the business in relation to potential market abuse and poor market etiquette
• Draft and submit STOR’s to the regulator such as the FCA as agreed by the financial crime manager.
• Draft and submit SARs to the NCA
• Respond to requests for information from the regulator
• Make recommendations for enhancements to existing processes for identifying market abuse risk in line with regulatory change and requirements
• Assist in drafting and updating appropriate policies and procedures in relation to market abuse
• Produce related MI
• Support the development and delivery of training to the wider business as and when required
• Assist the financial crime manager with ongoing improvements

What we're looking for:

• Previous experience working in Market Abuse Surveillance is essential
• A good understanding of equities, fixed incomes, and funds
• A strong understanding of MAR and Money Laundering Directives
• A strong understanding of the high- risk indicators which are indicative of market abuse
• Strong analytical and investigative skills
• Strong prioritisation skills and an ability to work under pressure to meet strict deadlines
• Strong communication skills, both written and verbal, and the ability to build & maintain internal/external relationships with key stakeholders
• Ability to take ownership of specific technical queries/issues through to resolution
• Ability to work autonomously
• A team player
• Self-motivated with a strong work ethic and the ability to multi-task across both team orientated and individual tasks.

About us:

AJ Bell is one of the fastest-growing investment platform businesses in the UK offering an award-winning range of solutions that caters for everyone, from professional financial advisers, to DIY investors with little to no experience. We have over 542,000 customers using our award-winning platform propositions to manage assets totalling more than £86.5 billion. Our customers trust us with their investments, and by continuously striving to make investing easier, we aim to help even more people take control of their financial futures.

Having listed on the Main Market of the London Stock Exchange in December 2018, AJ Bell is now a FTSE 250 company.

Headquartered in Manchester with offices in central London and Bristol, we now have over 1,450 employees and have been named one of the UK's 'Best 100 Companies to Work For’ for six consecutive years.

Our perks and benefits:

• Starting holiday entitlement of 25 days, increasing up to 31 days with length of service
• Holiday buy and sell scheme
• A choice of pension schemes with matched contributions up to 6%
• Discretionary bonus scheme
• Annual free share awards scheme
• Buy As You Earn (BAYE) Scheme
• Health Cash Plan – provided by SimplyHealth
• Discounted private healthcare scheme and dental plan
• Free gym membership, with an on-site gym providing a wide range of free classes
• Employee Assistance Programme
• Bike loan scheme
• Sick pay+ pledge
• Enhanced maternity, paternity, and shared parental leave
• Discounted nursery fees at Kids Planet on Exchange Quay
• Loans for travel season tickets
• Death in service scheme
• Paid time off for volunteer work
• Charitable giving opportunities through salary sacrifice
• Calendar of social events, including monthly payday drinks, annual Christmas party, summer party and much more
• Parking at Exchange Quay
• Personal development programmes built around you and your career goals, including access to personal skills workshops
• Ongoing technical training
• Professional qualification support
• Talent management programmes
• Peer recognition scheme, with rewards including restaurant and shopping vouchers or time off
• Monthly leadership breakfasts and lunches
• Casual dress code
• Access to a range of benefits from our sponsorship deals

Hybrid working:

At AJ Bell, our people are the heart of our culture. We believe in building strong connections by working together. That's why we offer a hybrid working model, where you’ll spend a minimum of 50% of your working time per month in the office. For new team members, an initial period will be full-time in the office to help you immerse yourself in our business and build valuable relationships with your colleagues.

AJ Bell is committed to providing an environment of mutual respect where equal employment opportunities are available to all applicants and all employees are empowered to bring their whole self to work.

We do not discriminate on the basis of race, sex, gender identity, sexual orientation, age, pregnancy, religion, physical and mental disability, marital status and any other characteristics protected by the Equality Act 2010. All decisions to hire are based on qualifications, merit and business need.

If you like the sound of the above, or just want to know more about the company and the role, we'd love to speak to you.