The Compliance Monitoring Officer (CMA) plays an important role in the detection, analysis, quality assurance and follow up of potential market abuse within the MAC Unit and acts as a linking pin between the MAC Unit and the business. The CMA, acting as subject matter expert, analyses and investigates alerts arising from our automated transaction and electronic communications monitoring, facilitates and coordinates the development of detection scenario's and performs risk based analyses pertaining to legal issues which may have an impact upon the monitoring and other activities within the MAC Unit. The CMA has a strong drive/strives to enhance the market abuse culture amongst the stakeholder base and raise standards where required.
- Subject matter expert level analysis of electronic communications and transactions pertaining to potential market abuse (main task);
- Promptly investigate and clearly communicate issues arising from the monitoring activities;
- Assist in the development and maintenance of detection scenarios for different classes of financial instruments for automated transaction surveillance;
- Maintain awareness of key regulatory updates and analyse their impact upon the various activities of the MAC Unit;
- Executing of the compliance cycle which includes risk assessments, monitoring actions, incident handling, reporting and advise.
- You will manage relationships and expectations with the applicable internal and external stakeholders, e.g. business (traders) and regulators.