Specialist Compliance Officer – Market Abuse (English/Dutch Speaker)
Market abuse is a concept that encompasses unlawful behavior in the financial markets and it consists of insider dealing, unlawful disclosure of inside information and market manipulation scenarios.
Market abuse Level 1 team works in a first level of analysis for Market Abuse, focused in 2 main areas: Insider Dealing and Market Manipulation.
The team work for all 3 Ops (CIB, DM, IFS) in several locations all over the world.
Description of the main responsibilities and tasks:
- Process alerts on Actimize at Level 1 according to procedures in place on each entity served, assuring a good quality of investigation, within the defined 3‐days rule
- Minimize backlog risk ﴾when occurring, agree with the manager on the most efficient action plan to implement to solve it)
- Close false positive alerts or escalate suspicious alerts to Level 2 (Local Compliance), following the above mentioned procedures
- Perform enhanced investigations on the client’s activity that can be considered suspicious
- Perform Weekly / Monthly Activity Reports
- Contribute to keep procedures and relevant documents updated with team and global guidelines
- Develop transversal tasks or projects that consolidate the team’s knowledge and improve the team efficiency
- When applicable, perform Level 1 controls and formalize the outcome, including action plan, with your manager and further with the entities served
- When applicable, provide Compliance training to newcomers or to specific targets.
- Academic background in Finance, Management, Law or similar areas
- Fluency in English or Dutch (mandatory)
- Business knowledge (including products and operational systems)
- Experience in assessing Market Abuse cases is a plus
- Knowledge about Market Abuse typologies relevant to financial instruments and client-types is a plus
- Analytical and risk assessment skills
- Proficient user of Microsoft Office