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They offer investment solutions and services and retirement expertise to more than 2.5 million customers globally. As a privately-held, purpose-driven company with a 50-year heritage, they think generationally and invest for the long term. Operating in more than 25 locations and with $611.4 billion in total assets, their clients range from central banks, sovereign wealth funds, large corporates, financial institutions, insurers and wealth managers, to private individuals.
• 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 firms 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.
• 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