Compliance Analyst (Trade Surveillance)

GWP; Greater London; Hybrid; GBP 125,000 - 150,000; Full time

Job summary

A global financial services firm is seeking a Trade Surveillance Analyst to join their team. This role involves undertaking thematic reviews, daily analysis of trade alerts, and liaising with key stakeholders. Candidates should have experience in financial services trade surveillance and knowledge of market abuse regulations. The firm offers a hybrid work environment along with generous health and well-being benefits, mentoring, and career development opportunities.

Benefits

Generous holiday policies

Paid volunteer time

Professional development support

Health and well-being benefits

Lunch allowance

Complimentary subscription to mindfulness apps

Lunch allowance

Qualifications

• Experience in trade surveillance and monitoring within financial services.
• Understanding of market abuse regulations and compliance practices.
• Proficient with Microsoft Office Suite tools.

Responsibilities

• Undertake thematic reviews and market abuse surveillance.
• Perform daily analysis of trade and communications alerts.
• Conduct targeted manual analysis on trading activity.
• Prepare management information as required.
• Liaise with stakeholders to understand trading strategies.

Skills

Trade surveillance / monitoring related experience in financial services

Knowledge of market abuse regulations

Good IT skills including PowerPoint, Excel, and Word

Effective analytical skills and strong attention to detail

Self-starter and proactive

Intellectual curiosity and aspiration to learn and develop

Ability to communicate effectively

Ability to work cohesively in a team

Good planning, organisational, and prioritization skills

Tools

Global Relay

Nasdaq Compass Trading Hub

LiquidMetrix

Bloomberg

Thomson Reuters

Job description

Why work for us

A career at Janus Henderson is more than a job its about investing in a brighter future together.

Our Mission at Janus Henderson is to help clients define and achieve superior financial outcomes through differentiated insights disciplined investments and world-class service. We will do this by protecting and growing our core business amplifying our strengths and diversifying where we have the right.

Our Values are key to driving our success and are at the heart of everything we do : Clients Come First - Always Execution Supersedes Intention Together We Win Diversity Improves Results Truth Builds Trust

Your opportunity

• You will be part of a team responsible for undertaking thematic reviews regular testing and market abuse surveillance for the global business.
• Perform daily analysis of trade and communications alerts with a focus on market abuse.
• Perform targeted manual analysis on trading activity including appropriate identification and investigation of emerging trends.
• Perform regular testing and thematic reviews in accordance with the compliance monitoring plan.
• Prepare management information as required.
• Liaise with key stakeholders to understand investment and trading strategies with respect to market abuse surveillance.
• Liaise with key stakeholders to understand business processes communicate identified issues and verify factual accuracy of issues with respect to regular testing and thematic reviews.
• Track and validate the agreed upon management actions.
• Escalate issues to Managers.
• Collaborate with individuals within the wider Risk and Compliance department and other control functions.
• Carry out other duties as assigned

What to expect when you join our firm

• Hybrid working and reasonable accommodations
• Generous Holiday policies
• Excellent Health and Wellbeing benefits including corporate membership to ClassPass
• Paid volunteer time to step away from your desk and into the community
• Support to grow through professional development courses tuition / qualification reimbursement and more
• All-inclusive approach to Diversity Equity and Inclusion
• Maternal / paternal leave benefits and family services
• Complimentary subscription to Headspace the mindfulness app
• All employee events including networking opportunities and social activities
• Lunch allowance for use within our subsidized onsite canteen

Must have skills

• Trade surveillance / monitoring related experience in financial services
• Knowledge of market abuse regulations
• Good IT skills including PowerPoint Excel and Word
• Effective analytical skills and strong attention to detail
• Self-starter and proactive
• Intellectual curiosity and aspiration to learn and develop
• Ability to communicate effectively
• Ability to work cohesively in a team
• Good planning organisational and prioritization skills

Nice to have skills

• Knowledge of communication surveillance systems such as Global Relay preferable
• Knowledge of market abuse surveillance systems such as Nasdaq Compass Trading Hub LiquidMetrix etc.
• Knowledge of data providers such as Bloomberg and Thomson Reuters
• Relevant professional qualifications (e.g. risk management compliance investment management financial crime legal accountancy)

Supervisory responsibilities

No

Potential for growth

• Mentoring
• Leadership development programs
• Regular training
• Career development services
• Continuing education courses

Benefits

Janus Henderson is committed to offering a comprehensive total rewards package to eligible employees that includes competitive compensation pension / retirement plans and various health wellbeing and lifestyle benefits. To learn more about our offerings please visit the Why Join Us section on the career pagehere.

Equal Opportunity Employer

Janus Henderson Investors is an equal opportunity employer .All qualified applicants will receive consideration for employment without regard to race color religion sex sexual orientation gender identity national origin disability or veteran status. All applications are subject to background checks.