About The Role

With a diverse team of Compliance professionals supporting all areas of our business around the globe, the Global Financial Crimes Compliance (GFCC) team is responsible for developing and implementing the processes and standards to drive the Firm's anti-financial crime agenda.

As a Senior Associate in the STOR Investigations Team, you investigate referrals of potential market abuse across asset classes and help deliver timely regulatory reporting. You use sound judgment to assess potentially suspicious activity, write clear case reviews, and partner closely with surveillance and compliance stakeholders across the region.

Job responsibilities

Investigate and analyse potentially suspicious market activity referred by EMEA Surveillance, Front Office traders and other areas of the Firm.
Write and present case reviews with recommendations to Line of Business Compliance colleagues across the EMEA region
Work closely with EMEA Surveillance and Line of Business Compliance teams to efficiently identify and assess instances of potential market abuse
Draft Suspicious Transaction and Order Reports (STORs) for submission to the FCA, and other EMEA National Competent Authorities
Produce metrics, MI and associated analysis
Efficiently respond to regulatory enquiries from the FCA and other overseas regulators
Prioritise multiple tasks and escalate issues, where appropriate

Required qualifications, capabilities, and skills

Good working knowledge of financial markets, and an interest in the trading of equity and/or fixed income products.
Previous experience within Investment Banking, or at the regulator.
Familiar with EU and UK Market Abuse Regulation (MAR).
Excellent investigative instincts and strong judgement.
Strong analytical skills, are detail-orientated and capable of digesting and reviewing large datasets.
Strong communicator with the ability to effectively partner with key stakeholders.
Prioritise conflicting demands, be proactive, well-organised and work under pressure.
Able to work both independently and collaboratively within a team and are willing to share knowledge and expertise.

Preferred qualifications, capabilities, and skills

A relevant degree (e.g. finance, law, or economics) would be desirable but is not essential.
Market Surveillance experience is highly desirable. A background in reviewing trade surveillance alerts or a Control Room is advantageous.
Experience across a variety of asset classes or lines of business is desirable.
Additional European language would be beneficial but not required