Trade Surveillance Analyst

We’re looking for an experienced Trade Surveillance Analyst to join our Financial Crime team and play an important role in protecting the integrity of our business and the interests of our customers.

At AJ Bell, our purpose is to help people feel good about investing. Behind that is the trust our customers place in us to operate responsibly, identify potential risks and maintain high standards of market conduct.

In this role, you’ll be one of our subject matter experts on market abuse, carrying out trade surveillance, investigating potential concerns and helping us continually strengthen our controls.

You’ll take ownership of trade surveillance activity and investigations, working closely with colleagues across the business and supporting our Financial Crime Manager.

• Carrying out daily trade surveillance and investigating alerts to identify potential market abuse.
• Reviewing internal referrals relating to potential market abuse and poor market etiquette.
• Documenting investigations clearly and accurately, including findings, rationale and outcomes.
• Drafting Suspicious Transaction and Order Reports (STORs) for submission to the FCA, where agreed with the Financial Crime Manager.
• Drafting and submitting Suspicious Activity Reports (SARs) to the National Crime Agency.
• Supporting responses to regulatory requests for information.
• Identifying opportunities to strengthen our market abuse controls and surveillance processes as regulation and risks evolve.
• Supporting the development and maintenance of market abuse policies and procedures.
• Producing meaningful management information to help identify trends, risks and areas requiring further attention.
• Sharing your expertise across the business, including supporting the development and delivery of training.
• Working with the Financial Crime Manager on the continued development of our approach to trade surveillance and market abuse risk.

You’ll already have hands on experience of market abuse surveillance and be comfortable investigating activity, reaching evidence based conclusions and clearly documenting your rationale.

• Previous experience working in market abuse or trade surveillance. This is essential.
• A good understanding of equities, fixed income securities and funds.
• Strong knowledge of the Market Abuse Regulation (MAR) and relevant financial crime and anti-money laundering requirements.
• A good understanding of the behaviours and high-risk indicators that can signal potential market abuse.
• Strong analytical and investigative skills, with the ability to interpret information and make sound judgements.
• Excellent attention to detail, particularly when documenting investigations and regulatory matters.
• The ability to prioritise effectively and work to regulatory and internal deadlines.
• Strong written and verbal communication skills and the confidence to work with stakeholders across the business.
• The ability to take ownership of technical queries or issues through to resolution.
• The confidence to work autonomously while contributing positively to the wider team.

At AJ Bell, we believe investing should feel good. Whether you're looking for an ISA, pension or dealing account, whether you want to invest with the help of a financial adviser or do it yourself, we have easy-to-use solutions to suit people from all walks of life.

We're one of the UK's fastest-growing investment platform businesses, trusted by everyone from professional financial advisers to first-time investors.

Today, over 762,000customers trust us to manage more than £121.5billion of assets. By continually striving to make investing simpler and more accessible, we're helping…