Trade Surveillance Analyst

Job Description

Help protect the trust behind investing.

At AJ Bell, we believe investing should feel good.

For our customers, that starts with trust. They trust us to look after their investments, operate responsibly and maintain the high standards they would expect from a business handling their financial futures.

Our Financial Crime team plays an important role in protecting that trust.

We’re looking for an experienced Trade Surveillance Analyst to join the team and help protect the integrity of our business, our markets and the interests of our customers.

As a subject matter expert in market abuse, you’ll carry out trade surveillance, investigate potential concerns and use your judgement to identify activity that may require further action.

You’ll also play an important role in continually strengthening our controls, processes and understanding of market abuse risk.

What does the job involve?

You’ll take ownership of trade surveillance activity and investigations, working closely with colleagues across the business and supporting our Financial Crime Manager.

Your responsibilities will include:

• Carrying out daily trade surveillance and investigating alerts to identify potential market abuse.
• Reviewing internal referrals relating to potential market abuse and poor market etiquette.
• Documenting investigations clearly and accurately, including findings, rationale and outcomes.
• Drafting Suspicious Transaction and Order Reports (STORs) for submission to the FCA, where agreed with the Financial Crime Manager.
• Drafting and submitting Suspicious Activity Reports (SARs) to the National Crime Agency.
• Supporting responses to regulatory requests for information.
• Identifying opportunities to strengthen our market abuse controls and surveillance processes as regulation and risks evolve.
• Supporting the development and maintenance of market abuse policies and procedures.
• Producing meaningful management information to help identify trends, risks and areas requiring further attention.
• Sharing your expertise across the business, including supporting the development and delivery of training.
• Working with the Financial Crime Manager on the continued development of our approach to trade surveillance and market abuse risk.

What are we looking for?

You’ll already have hands on experience of market abuse surveillance and be comfortable investigating activity, reaching evidence based conclusions and clearly documenting your rationale.

We’re looking for someone who has:

• Previous experience working in market abuse or trade surveillance. This is essential.
• A good understanding of equities, fixed income securities and funds.
• Strong knowledge of the Market Abuse Regulation (MAR) and relevant financial crime and anti-money laundering requirements.
• A good understanding of the behaviours and high-risk indicators that can signal potential market abuse.
• Strong analytical and investigative skills, with the ability to interpret information and make sound judgements.
• Excellent attention to detail, particularly when documenting investigations and regulatory matters.
• The ability to prioritise effectively and work to regulatory and internal deadlines.
• Strong written and verbal communication skills and the confidence to work with stakeholders across the business.
• The ability to take ownership of technical queries or issues through to resolution.
• The confidence to work autonomously while contributing positively to the wider team.

About AJ Bell  

At AJ Bell, we believe investing should feel good. Whether you're looking for an ISA, pension or dealing account, whether you want to invest with the help of a financial adviser or do it yourself, we have easy-to-use solutions to suit people from all walks of life.

We're one of the UK's fastest-growing investment platform businesses, trusted by everyone from professional financial advisers to first-time investors.

Today, over 762,000customers trust us to manage more than £121.5billion of assets. By continually striving to make investing simpler and more accessible, we're helping more people take control of their financial futures.

We're proud to be recognised as a Great Place to Work® for the past two years, building on six consecutive years as one of the UK's Best 100 Companies to Work For. It's recognition we're proud of and a reflection of the supportive and collaborative culture we strive to create for our people.

What we offer  

• Competitive starting salary depending on experience 
• 25 days holiday, increasing with service + buy/sell scheme + bank holidays  
• 6% Pension with matched contributions  
• Discretionary bonus scheme  
• Share schemes (including free shares and BAYE)  
• Health Cash Plan and discounted private healthcare  
• Free onsite gym  
• Enhanced family leave (subject to qualifying criteria)  
• Travel and bike loan schemes  
• Employee Assistance Programme  

Life at AJ Bell  

• Regular social events including summer and Christmas parties  
• Learning and development opportunities tailored to you  
• Casual dress code  
• Friendly, supportive team environment  

Our ways of working  

We offer hybrid working, with a minimum of 50% of your working time per month spent in the office.  

For new starters, there’s an initial period of full-time office working to help you settle in and build relationships.  

Inclusion & diversity  

We’re committed to creating an inclusive environment where everyone feels respected and able to be themselves at work.  

We welcome applications from all backgrounds and make hiring decisions based on skills, experience and potential. 

Qualifications

Additional Information