Job Description

Responsibilities

  • Developing a comprehensive understanding of the Cboe Rulebook, Participant Manual, FCA’s Code of Market Conduct, the Market Abuse Regulation, and the various strategies used to commit market abuse.
  • Using automated alerts and complex tools to monitor transactions on Cboe for market abuse (as detailed in the FCA’s Code of Market Conduct).Ensuring that all potential breaches identified are escalated promptly to senior members of the team.
  • Carrying out investigations of potential market abuse, making recommendations internally for referral to the appropriate regulatory authority.
  • Conducting initial enquiries with Trading Participants in respect of anomalous activity.
  • Ensuring that accurate records of potential market abuse reviews and investigations are maintained efficiently.
  • Maintaining and analysing surveillance alerts and review statistics.
  • Assisting with the development and improvement of the analytical tools used to monitor for, and investigate potential market abuse.
  • Maintaining an awareness of regulatory developments in respect of market abuse and the overall exchange landscape.
  • Regularly updating the market surveillance procedures in line with business growth and applicable regulations.
  • Assisting in the on-boarding of new Trading Participants, developing a working knowledge of KYC, AML, company background checks and procedures.
  • Supporting and maintaining the Cboe symbol universe.
  • Operate a shift basis, covering the hours of 07:00 to 19:00.
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Confirmed 23 hours ago. Posted 30+ days ago.

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