Investec is a distinctive Specialist Bank serving clients principally in the UK and South Africa. Our culture gives us our edge: we work hard to find colleagues who'll think out of the ordinary and we put them in environments where they'll flourish. We combine a flat structure with a focus on internal mobility. If you can bring an entrepreneurial spirit and a desire to learn and collaborate to your work, this could be the boost your career deserves.
Research shows that some candidates can be reluctant to apply to a role unless they meet all the criteria. We pride ourselves on our entrepreneurial spirit here and welcome you to do the same – if the role excites you, please don't let our person specification hold you back. Get in touch!
The IBP Market Surveillance team sits with the Wholesale Compliance division at Investec Bank. We are small, settled team with mature processes looking for someone who can bring new ideas and experience.
Description of role and key responsibilities
Market Surveillance • Undertake a comprehensive and appropriate surveillance framework that identifies and manages relevant regulatory risks, with a focus on Market Abuse and Conduct.• Promptly investigate and clearly communicate in the designated format issues arising from electronic trade and communication surveillance, liaising with Compliance Advisers as required, and following issues through to full resolution.• Undertake automatic, manual and ad-hoc surveillance as required.• Report suspicions internally and externally to regulators when required. • Liaison with Compliance Advisers, the Control Room and business units when required.• Provide appropriate written management information.• Maintain awareness of key EU / UK regulatory updates and analyse their impact upon IBP's surveillance programme
Core skills and knowledge
Technical knowledge & Experience• A minimum of 3 years' experience in a relevant field: market surveillance, securities trading, trading operations, financial crime analyst, etc.• Understanding of Investment Banking and Capital Markets. • Familiarity with sell side equity trading is preferable, also FX trading and derivatives thereof
Personal Attributes & Skills• Strong integrity and discretion when required.• Demonstrable investigative and analytical skills with ability to think independently to reach reasoned conclusions based on evidence.• Strong report writing skills with ability to make persuasive written arguments in a clear and concise format.• Technical aptitude with evidenced ability to understand and develop processes.• Aptitude for interpreting and applying regulation.• Strong numeracy.• First class approach to administration. • Excellent time management and organisation.• Multi-tasking and ability to manage a number of requests or priorities simultaneously.• Natural team player, comfortable working closely in a team environment.• Strong interpersonal skills used when communicating with the business and other members of the Compliance team. • Ability to work independently and reliably
Any other attributes that would be helpful, but not essential for the role
A mix of experience across different relevant disciplines and role types would be beneficial to add the most depth to the team in terms of experience and knowledge