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Offers investment solutions and retirement expertise to institutions, individuals and their advisers around the world. As a private company we think generationally and invest for the long term. Helping clients to save for retirement and other long term investing objectives has been at the core of our business for 50 years.
Purpose of the Role
The firm’s UK brokerage platform allows retail investors to trade stocks listed on the London Stock Exchange. You will be responsible
for monitoring trading, to detect suspicious transactions that might constitute market abuse and need to be reported to the UK’s
Financial Conduct Authority (“FCA”). You will also be responsible for performing second line Compliance monitoring of best execution.
In addition, there will be opportunities to perform other monitoring performed by the firm’s Investment Compliance function.
Key Responsibilities
• Monitoring of retail brokerage transactions to detect suspicious transaction using the firm’s monitoring tool. This will primarily
consist of reviewing exceptions generated by the monitoring tool and performing further investigation where required.
• Ongoing calibration and administration of the market abuse monitoring tool.
• Production of management information and reports to the Financial Conduct Authority
• Performance of second line best execution monitoring of retail brokerage transactions, to ensure that the first line has performed
appropriate best execution monitoring.
• Assist with the performance of recurring exception monitoring of company's trading and other investment activities. This includes
exceptions and incidents such as best execution, fair allocation, market conduct, and conflicts of interest;
• Supporting the development and maintenance of management information reports, metrics and dashboards based on complex
data sets.
Experience and Qualifications Required
• At least 3 years of experience in the financial services industry;
• Highly motivated, able to think logically, critically & quickly;
• Good understanding of concepts and practices relating to trading, research and portfolio construction;
• Excellent communication and inter-personal skills, with a track record of coordinating and working with teammates and
stakeholders across multiple locations to deliver projects and deliverables;
• Excellent business writing skills;
• Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks