3 months ago
Market Regulation Senior Analyst - Guildford
Salary £60K DOE
My client in Guildford is looking for a Market Regulation Senior Analyst to join the team.
Educated to degree level or equivalent.
Previous experience of undertaking market surveillance within a financial services organisation, preferably in an exchange/MTF environment. Understanding of regulatory regime for financial services in the UK, and in particular:
• Listing Regime,
• Market Abuse Regime, and
• Disclosure and Transparency Requirements.
Professional certification in compliance or risk management. Understanding of the regulatory regime for RIEs. Experience of drafting internal procedures to support market surveillance activities. Knowledge of the market for securitised commercial real estate, e.g. the IPO and trading of Real Estate Investment Trust (REIT) securities, including investor base and asset owners.
Skills (acquired by training or experience)
Ability to identify emerging risks and trends in the issuer population and market activity and respond appropriately. Strong interpersonal skills and ability to challenge colleagues and be persuasive in a collaborative and positive manner. Ability to balance multiple priorities, demonstrating good organisational skills to meet deadlines. Ability to manage resources to maximise results. Ability to provide timely, concise, audience appropriate information, both orally and in writing. Good working knowledge of Microsoft Office, Scila (or equivalent market surveillance system), and Cinnober (or equivalent trading system).
Reporting to the Head of Market Regulation, the Market Regulation Senior Analyst is responsible for leading the market surveillance activities and evolving the Market Surveillance Strategy in response to changes in the business model, regulatory requirements and expectations. The Market Regulation Senior Analyst will respond to alerts, undertake deep dive investigations of member activity, identify trends and emerging risks arising from trading activity on Companies market, and develop the ongoing member monitoring programme. The Market Regulation Senior Analyst will proactively enhance, develop, implement and maintain Market Regulation procedures, and identify opportunities to enhance the company Rules. The Market Regulation Senior Analyst will work alongside the Market Regulation Analyst and provide guidance and support to the Analyst in their day-to-day activities.
• Maintain and enhance the Market Regulation Surveillance Strategy, including the Core Alert Programme, ensuring it is and remains appropriate for the size, nature and complexity of companies market(s) and its issuers, both now and as it develops.
• Develop and implement companies ongoing member monitoring programme to ensure it meets regulatory expectations and is proportionate to the risks posed by company members.
• Perform deep dive investigations in response to Scila alerts, in accordance with the Market Regulation Surveillance Strategy.
• Develop, challenge, implement and maintain key Market Regulation procedures, and periodically review these to ensure they remain appropriate for the scale and nature of the business.
• Ensure the market opens and operates correctly, with issuers' securities able to trade, with market makers present in the quoted market, and trades correctly published and reported.
• Prepare Market Regulation reports for different audiences, including the company Executive Committee and the company Board.
• Identify and escalate to the Head of Market Regulation and the Head of Compliance and Legal any events or breaches which require notification to the regulator and/or to the company Board.
• Keep up to date by attending training events and subscribing to industry feeds and knowledge bases.
• Support and deputise for the Head of Market Regulation as required.
Additional Resources Ltd is an Employment Business and an Employment Agency as defined within The Conduct of Employment Agencies & Employment Businesses Regulations 2003
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