Responsibilities:
- Maintain an effective trading compliance program through risk management, monitoring and surveillance of trading activities.
- Review and analyze exception reports relating to order/transaction/market information.
- Reviews manipulation (e.g. marking the open and close, wash, insider dealing etc.) as well as quality of markets (e.g. best execution, limit order display, locked/crossed markets, trading ahead, short sales, etc.)
- Taking part in strategic and/or regulatory projects, process improvements, policy writing and driving the compliance agenda.
- Monitoring and testing the effectiveness of policies, procedures, and internal controls which are designed to assess the company's compliance with applicable regulatory requirements.
- Leading all aspects of compliance and audit activities for regulatory examinations.
- Responding to any business queries that are related to regulatory or policy matters with accurate and value advice.
- Leading positively in the management of relationships with regulators in all relevant jurisdictions, fostering an environment of mutual trust and respect.
- Maintain a high level of awareness of compliance related changes and developments in the securities industry through review of publications, seminars, employee training, etc.
- Other duties and projects as may be assigned.
Requirements
- Finance, Management, Law or similar degree
- Strong financial markets experience or Financial Markets Surveillance within a broad range of markets and wholesale banking products. (Fixed Income & Currency (FIC), Foreign Exchange (FX) and Commodities
- Good understanding of compliance and/or risk management frameworks and testing programs
- Regulatory knowledge (Market Abuse Regulation, MiFID II)
- Strong data analytics skills
- Prior experience working in financial markets, compliance, sales/trading, risk, control
- Fluent English, Level C1 (written, spoken)
- Ability to analyze, summarize and succinctly communicate assessments and key takeaways
- Strong interpersonal and leadership skills, ability to collaborate with multiple teams and stakeholders
- Ability to think outside of the box
Only English Cv's will be consider.
Natixis in Portugal
Natixis in Portugal is fully integrated in the global organization of Natixis, a French multinational financial services firm specialized in Asset & Wealth Management, Corporate & Investment Banking, Insurance and Payments
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