About our Company
Peel Hunt are a leading UK investment bank focused on mid-cap and growth companies that puts long-term success above short-term gain, helping good companies succeed and delivering outstanding results. We have three business areas, but we act as one Peel Hunt. Our integrated approach combines expert research and distribution, a range of investment banking services, and an execution services hub that provides liquidity to the UK capital markets.
The Department
The Compliance Analyst is responsible for operating the firm’s market abuse surveillance systems to identify for potential market misconduct. The Compliance Analyst also performs assurance testing with a particular focus on market abuse controls.
The role sits within the Compliance Function, which is part of the Risk and Compliance Department. The individual will report to the Surveillance Officer and will work alongside other compliance team members, including the Head of Public Side Compliance.
Role responsibilities
* Have an understanding of the regulatory environment, values and abilities consistent with the FCA conduct rules.
* Responsibility for carrying out surveillance activities in relation to market misconduct:
o Reviewing transaction alerts generated by the Firm’s automated Surveillance System, LiquidMetrix, for suspected market abuse by clients and staff.
o Reviewing transaction alerts generated by the Firm’s internal proprietary systems for potential signs of money laundering or terrorist financing.
o Reviewing alerts of communications generated by Global Relay to look for potential market abuse, bribery and other risks by clients or staff.
o Reviewing suspicious transactions and order reports (“STORs”) submitted internally and externally related to potential market misconduct.
o Submitting STORs related to market abuse to the FCA and suspicious activity reports (“SARs”) related to money laundering and terrorist financing to the National Crime Agency.
o Assisting with internal audit queries related to surveillance activities and market abuse.
o Investigating and responding to regulators related to surveillance and market abuse queries.
* Assisting with queries and issues on general compliance matters by relevant departments.
* Managing routine notifications to regulators (for instance to the Takeover Panel and London Stock Exchange).
* Advising on and delivery of training of management and staff to ensure compliance with regulatory and competency requirements.
* Reviewing and updating procedures to ensure compliance with relevant requirements.
* Preparation and presentation of regular reports, including for the Head of Group Compliance.
Key capabilities and knowledge
* Previous experience essential of operating a market abuse surveillance system.
* Previous compliance experience essential related to equities trading.
* Desirable experience of working at firms that trade illiquid securities, including FTSE 250 and AIM Securities.
* A good understanding of front office controls, monitoring and surveillance.
* A good understanding of FCA rules and relevant regulations.
* Ability to work independently and support the compliance team as required
* Effective communicator both orally and in writing.
* Knowledge of Fidessa (or other trading platforms) and Bloomberg desirable.
* Competent Microsoft Excel and Word essential.
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