Trade Surveillance Analyst

Job Description Help protect the trust behind investing.

At AJ Bell, we believe investing should feel good.

For our customers, that starts with trust. They trust us to look after their investments, operate responsibly and maintain the high standards they would expect from a business handling their financial futures.

Our Financial Crime team plays an important role in protecting that trust.

We’re looking for an experienced Trade Surveillance Analyst to join the team and help protect the integrity of our business, our markets and the interests of our customers.

As a subject matter expert in market abuse, you’ll carry out trade surveillance, investigate potential concerns and use your judgement to identify activity that may require further action.

You’ll also play an important role in continually strengthening our controls, processes and understanding of market abuse risk.

What does the job involve?

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

Your responsibilities will include:

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.

What are we looking for?

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.

We’re looking for someone who has:

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.

About AJ Bell  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.

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