Market Abuse Analyst

Purpose of the Job

Quintet Private Bank is a leading private bank in the wealth management sector; we are committed to our clients and their families, and pride ourselves on our personalized service based on a deep understanding of what clients want to achieve. Compared to others, we are small (<2,000 employees across 50 European and UK locations) with an ambition to stay true to our purpose to be the most trusted fiduciary of family wealth. When you join Quintet you are joining a company that values diversity of background, equal access to opportunities, career development, collaboration and inclusiveness. We want our employees to feel proud of being part of a company that is committed to do the right thing. You will have the opportunity to grow your career while developing personally and professionally through various resources and programmes.

This role is part of Group Operations and is responsible for monitoring, investigating and escalating potential market abuse activities detected through Quintet’s surveillance system. This role plays a crucial part in ensuring that Quintet complies with regulatory requirements related to Market Abuse prevention and upholding the integrity of the financial markets in which the Group operates. The role holder will be based in Quintet’s office in Brussels, and report to the FCC Operations - Lead. The role’ scope covers all EU locations in which Quintet operates. 

Key Accountabilities

• Monitoring market abuse alerts: Use Quintet surveillance tools to monitor trading activity and investigate alerts related to potential market abuse such as insider dealing, market manipulation and unlawful disclosures.
• Level 1 investigations: Investigate level 1 alerts in accordance with Quintet’s Market Abuse policy and procedures. 
• Escalation: Prepare detailed reports for senior compliance officers and Quintet governance bodies in relation to more complex cases, outlining key facts and risks. Reporting to Compliance thematic weaknesses or failures identified during as part of the day-to-day monitoring activities. 
• Record-keeping: Ensure high record-keeping discipline is applied to all investigations, including detailed rationale for dismissing, resolving or escalating alerts. 
• Collaboration with stakeholders: Work closely with traders, Compliance teams and other senior stakeholders across the Group to resolve alerts in a timely manner and ensuring appropriate action is take in relation to each case. 
• Management Information: Responsible for producing meaningful MI and reports requested by Quintet’s control functions and governance bodies.
• Conduct: Ensure strict adherence to Quintet’s Code of Conduct. 

Knowledge and Experience

• Proven experience in market abuse monitoring, financial crime compliance or a similar role within a financial institution.
• Basic knowledge of market abuse regulations, including insider dealing, market manipulation and unlawful disclosure of inside dealing.
• Previous experience with market abuse surveillance systems is not a must but will be considered as a strong advantage.
   

Attributes and Qualities

• Excellent analytical skills and attention to detail with the ability to assess large sets of information quickly.
• Strong communication skills, both written and verbal with the ability to document investigative steps and conclusions effectively, in a clear, concise and professional manner.
• Ability to work independently and manage several cases simultaneously. 
• Strong organisational skills

Technical Skills

• Market abuse monitoring and associated case management systems;
• ACAMS or ICA ML/FCC qualifications preferred

Languages Skills

• Proficient in English required 
• French, German or Dutch is a plus