Regulatory Investigations (Surveillance) Specialist - Banking
Location: London (Hybrid Working)
Keywords: Regulatory, Investigations, Surveillance, Compliance, Market Abuse, Legal Expertise
Our client is seeking a Regulatory Investigations (Surveillance) Specialist to join their dynamic team. This role offers an exciting opportunity to contribute to a responsible and sustainable economy by financing and advising clients according to the highest ethical standards. The successful candidate will be part of an independent function providing specialist advice and support in adhering to internal controls, external rules, and managing compliance risks.
* Opportunity to work in a highly ethical environment
* Involvement in comprehensive compliance market abuse surveillance
* Chance to contribute to the development of control frameworks
What you'll do:
As a Regulatory Investigations (Surveillance) Specialist, your role will be pivotal in ensuring the company's adherence to the highest ethical standards. You will be responsible for managing and coordinating investigations related to significant market misconduct across various business lines. Your excellent analytical skills will be utilised in preparing for interviews, analysing data, and driving investigations to meaningful conclusions. You will also interact with various disciplinary committees, maintaining strict confidentiality at all times.
- Manage, coordinate and conduct investigations relating to instances of significant market misconduct
- Act as the EMEA MAS team’s Legal expert
- Ensure relevant analysis of data and records, prepare for and conduct interviews
- Assist in producing clear and concise reports regarding the outcome of the investigation
- Interact with Bank Disciplinary and Conduct escalation processes/committees where necessary
- Maintain strict confidentiality when managing whistleblowing and other confidential cases
What you bring:
The ideal candidate for the Regulatory Investigations (Surveillance) Specialist role brings a wealth of professional qualifications and prior experience in trade surveillance within banking compliance or a related field. Your detailed knowledge of Compliance principles, particularly in Market Abuse Surveillance, will be crucial in this role. You possess an understanding of Market Abuse regulations including MAR and MiFID. Your strong analytical skills coupled with your ability to provide insightful legal advice make you an ideal fit for this role.
- Professional qualification and prior Compliance experience in trade surveillance within banking compliance, risk or related field preferred
- Detailed knowledge of specific Compliance principles and processes in Market abuse surveillance and monitoring
- Understanding of Market Abuse and associated regulation including MAR and MiFID
- Good analytical skills and ability to provide legal insights into advice and recommendations
- Previous investigations experience advantageous - Preferably in the context of financial markets or AML activity
- Excellent written and oral English skills
What sets this company apart:
This company prides itself on being a great place to work, committed to sustainability, having a positive impact, and dedicated to the development of its people. They offer optimal work/life balance including hybrid working, flexible working, agile working arrangements, generous holiday allowance, valuable financial plans such as non-contributory pension moved to sustainable investments*, life assurance*, income protection and personal accident insurance. They also provide extensive wellbeing and mental health offerings, key onsite services and facilities in London, emergency back-up care for dependants, green car leasing, season ticket loan, and a range of other benefits.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates
