Analyst, Surveillance and Monitoring Compliance
ACA Group
United Kingdom
Published 1 month ago
Compliance Management Systems / Technology
The Opportunity:
The Analyst, Surveillance & Monitoring Compliance will work with ACA Mirabella's Risk and Compliance team to support the Firm's regulatory objectives to counter the risk of market abuse, financial crime and/or other conflicts as they may arise from time-to-time.
What you'll do:
Support the onboarding of new clients to ACA Mirabella's regulatory hosting platform with a focus on deploying market abuse trade surveillance and e-comm's surveillance tools.
Working with the Risk and Compliance functions to prepare market abuse risk assessments. Conduct trade and e-comms monitoring activities.
Work with key stakeholders to identify and investigate suspicious trading activity.
Keep abreast of and update key stakeholders with respect to regulatory developments in the area of market abuse, financial crime, and sanctions.
Conduct "Best Execution" monitoring with the aim of identifying specific outliers and discussing these with key stakeholders.
Where required support the implementation of new market abuse trade surveillance and e-comms software.
To qualify for the role you must have:
We offer a competitive compensation package where you'll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidized corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as days off for your work anniversary, career development, and volunteering.
About ACA:
ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
What we commit to:
ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.
The Analyst, Surveillance & Monitoring Compliance will work with ACA Mirabella's Risk and Compliance team to support the Firm's regulatory objectives to counter the risk of market abuse, financial crime and/or other conflicts as they may arise from time-to-time.
What you'll do:
Support the onboarding of new clients to ACA Mirabella's regulatory hosting platform with a focus on deploying market abuse trade surveillance and e-comm's surveillance tools.
Working with the Risk and Compliance functions to prepare market abuse risk assessments. Conduct trade and e-comms monitoring activities.
Work with key stakeholders to identify and investigate suspicious trading activity.
Keep abreast of and update key stakeholders with respect to regulatory developments in the area of market abuse, financial crime, and sanctions.
Conduct "Best Execution" monitoring with the aim of identifying specific outliers and discussing these with key stakeholders.
Where required support the implementation of new market abuse trade surveillance and e-comms software.
To qualify for the role you must have:
- Experience working in the Financial Sector
- Degree educated or MQF Level 6 qualification in a relevant field
- STEM subjects
- Basic knowledge in financial products, hedge fund trading strategies and the regulatory environment
- Demonstrated professional integrity.
- Dependable, flexible, and adaptable to new ACA initiatives and changing client needs.
- Ability to exercise discretion and make independent judgments on matters of significance.
- Ability to work in a fast-paced small team environment.
- Ability to establish and maintain effective working relationships with colleagues and clients.
- Highly motivated and goal oriented; pro-active in one's own education and career progression; volunteers for and shows initiative on both internal and external projects and tasks.
- Dedicated to upholding ACA's high-quality standards and customer service focus.
- Strong organizational and problem-solving skills with attention to detail.
- Strong oral and written communication skills.
- Proficient with Microsoft Office applications and comfortable working in a tech enabled environment
We offer a competitive compensation package where you'll be rewarded based on your performance and recognized for the value you bring to our business. Our Total Rewards package includes an annual discretionary bonus, pension, private medical insurance, group life insurance, group income protection, subsidized corporate gym membership, season ticket loan, employee assistance programme, and more. Our time off options include up to 26 days of annual holiday allowance and statutory bank holidays, as well as days off for your work anniversary, career development, and volunteering.
About ACA:
ACA Group is the leading governance, risk, and compliance (GRC) advisor in financial services. We empower our clients to reimagine GRC and protect and grow their business. Our innovative approach integrates consulting, managed services, and our ComplianceAlpha® technology platform with the specialized expertise of former regulators and practitioners and our deep understanding of the global regulatory landscape.
What we commit to:
ACA is firmly committed to a policy of nondiscrimination, which applies to recruiting, hiring, placement, promotions, training, discipline, terminations, layoffs, transfers, leaves of absence, compensation and all other terms and conditions of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.