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To support the BGC Group Compliance function through conducting E-Comms surveillance activities across BGC Group to proactively identify, manage and report potential incidents of market abuse, improper activity and conduct breaches. This includes:
Performing daily E-comms surveillance and escalation of issues;
Analysing surveillance reports and regulatory and market developments to support ongoing monitoring of risks, internal reporting and enhancement of systems and processes; and
Working as part of the E-comms surveillance team led by the Head of Advisory and E-comms, with regular interaction with personnel across Compliance, IT, HR and the Businesses.
The role sits within the Compliance team as the second line of defence and based in London. The role is be based in Canary Wharf but may involve working from one of two other locations in London, (City and Marylebone), to provide cover as needed.
In addition to conducting day-to-day surveillance activities, the role also requires you to support any backlog as part of the daily, weekly and monthly reviews.
Perform daily trade surveillance activities to address alerts and identify and investigate potential market abuse and improper activity by market participants
Identify risks/issues and discrepancies and proactively escalate to Deputy Head of E-comms Surveillance for secondary review as required
Accurately document review findings and outcomes and support further investigation of suspicious behaviour as required by providing insight and technical assistance
Promptly investigate and communicate operational issues arising from E-comms surveillance activities with the relevant stakeholders, e.g. IT for data and systems-related issues
Make recommendations for enhancements to existing processes and develop new processes for identifying market abuse risk in line with regulatory change and market/business developments
Take on such roles and responsibilities as are required from time to time to contribute to the successful operation of the Compliance function within the BGC Group
Assist and work with the other Compliance teams as required
Ensure the timely review, escalation and closure of system generated alerts
Where applicable produce relevant MI associated with surveillance activity
Conduct any manual surveillance where required
Assist in maintaining and developing written Policies and Procedures for the E-comms team
Reporting and Analysis:
Analyse surveillance reports and market/business developments to produce analysis and insight to support ongoing monitoring of risks and internal governance reporting
Maintain a detailed working knowledge of market abuse regulation and a broad awareness of the financial regulatory landscape
Support enforcement of the surveillance policies, procedures and processes
Complete all relevant training in a timely manner
Maintain professional behaviour
Adhere to and promote the company values and ethical framework
Analytical skills to investigate alerts and organise and analyse trade and quote history
Excellent attention to detail and ability to spot anomalies
Key contacts/working relationships:
Liaise with other Compliance team members to ensure that a suitably coordinated approach to the surveillance function is applied across Advisory, trade and voice surveillance
Address surveillance-related queries and/or requests for information from either within Compliance or other stakeholders
Escalate significant compliance and regulatory issues as appropriate according to internal procedures
Share information as appropriate with other members of the Compliance department and attend relevant meetings as required
Key outputs and key performance indicators:
Documented alert reviews and identification of potential market abuse issues and improper activity
Production of escalation reports to notify the Head of E-comms Surveillance of issues
Greater detection of potential market abuse issues and improper activity
Positive contribution to the Compliance department
Understanding of the general activities and functions of financial markets would be preferable
Previous work experience would be advantageous
Excellent PC skills including Word, Excel and PowerPoint preferable especially the preparation of presentations and reports
Ability to work independently and with other staff across surveillance and the company as a whole,
Strong written and verbal communication skills
Good organisational and time management skills
Ability to quickly develop new skills and grasp new tasks