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Trade Surveillance Assistant Manager

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Salary £45k to £55k
Type Permanent
Location Scotland
Sectors UK & Regional
Compliance
Job Reference UK01/SXA/26491
Contact Sorina Anastasiu
Date posted 12-07-2017

We are working on behalf of a leading Financial Services institution to recruit an experienced Trade Surveillance Assistant Manager for their Edinburgh team. This is a fantastic opportunity to join a growing team in a prestigious global organisation, in a role with realistic career progression opportunities and great remuneration package.

The ideal candidate will have proven Trade Surveillance expertise from an Investment Banking background, as well as wider Compliance experience and knowledge of Market Abuse regulations. You will sit within the wider Risk Management team, and will be responsible for enhancing trade surveillance models and managing / investigating breaches.

Key Responsibilities

Assistant Manager for the E-surveillance activities
Ensure adequate surveillance controls, to abide by to Market Abuse Regulation (MAR) and MiFIDII
Ensure the organisation has satisfactory systems and controls to conduct surveillance
Investigate breaches; incl. market conduct and information breaches
Contribute to the improvement of the firm’s systems and controls and make recommendations
Contribute to the implementation of electronic communication surveillance for business risks & regulations

Skills and Expertise

Previous experience in manual surveillance from an Investment Banking background
Experience in Equities, Fixed Income, FX or Commodities; with knowledge across all asset classes
Market Abuse Regulation (MAR), and MiFIDII and overseas regulations knowledge
Compliance / risk management background
Thorough understanding of Market Abuse Offences (Insider Dealing, Market Manipulation and Dissemination)
Proven knowledge and understanding of industry and regulatory changes
Experience in recommending improvements and efficiencies for controls / systems / processes

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