Trade Surveillance Analyst

Overview

In this role you will own trade surveillance and investigations to detect potential market abuse and strengthen internal controls within AJ Bell’s Financial Crime team. You will work with colleagues across the business to analyse alerts, document findings, and support regulatory reporting to the FCA and National Crime Agency. You will help develop and maintain market abuse policies, produce actionable management information, and share expertise through training. This role offers the opportunity to impact market integrity at a fast-growing investment platform and collaborate with stakeholders across the organization.

Pay / Benefits

• Competitive starting salary
• 25 days holiday
• 6% Pension with matched contributions
• Discretionary bonus scheme
• Share schemes (including free shares and BAYE)
• Health Cash Plan and discounted private healthcare

Responsibilities

• Carry out daily trade surveillance and investigate alerts for potential market abuse
• Review internal referrals related to market abuse and market etiquette
• Document investigations with clear findings, rationale and outcomes
• Draft STORs for FCA submission (where agreed)
• Draft and submit SARs to the National Crime Agency
• Support responses to regulatory information requests
• Identify opportunities to strengthen market abuse controls and surveillance processes
• Support development and maintenance of market abuse policies and procedures
• Produce meaningful management information to identify trends and risks
• Share expertise across the business and contribute to training
• Collaborate with the Financial Crime Manager on evolving surveillance approach

Key requirements

• Previous experience in market abuse or trade surveillance (essential)
• Solid understanding of equities, fixed income securities and funds
• Strong knowledge of MAR and relevant financial crime/AML requirements
• Understanding of behaviours and high-risk indicators signaling market abuse
• Strong analytical and investigative skills with evidence-based conclusions
• Excellent attention to detail in investigations and regulatory matters
• Ability to prioritise and meet regulatory/internal deadlines
• Strong written and verbal communication with stakeholders
• Ability to own technical queries through to resolution
• Comfort functioning autonomously while contributing to the team

• Strong written and verbal communication
• Analytical mindset with attention to detail
• Ownership and accountability
• Market abuse surveillance
• Regulatory reporting (STORs, SARs)
• MAR knowledge

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