Join our team

Life at GRSS

“We know that it is our people who make us successful”

As every staff member is a shareholder of GRSS we treat everyone as a partner, so each person’s hopes and opinions are listened to and considered. We believe that it is of paramount importance that we do not simply measure our success in terms of the financial success of the firm, its important but we want GRSS to be a great place to work. We are committed to driving a sustainable business that is both commercially successful and socially and environmentally responsible. This includes providing our employees in the UK and Malta with a safe and healthy working environment and having an organisational culture which promotes diversity, inclusivity, personal development, and respect. We want people to enjoy coming to work and for the workplace to be free from discrimination, harassment, and victimisation.

Opportunities

Senior Surveillance Analyst (“SSA”)

 Job title

Senior Surveillance Analyst (“SSA”)

 Reporting to

GRSS CEO

 Direct reports

One or more Surveillance Analysts (“SA”)

 Location

GRSS London office , though a high proportion of time can be home based.

 Role objective

Conducting electronic communications (“e-comms”) surveillance using clients’ surveillance systems and liaising with our Risk team regarding certain trade surveillance investigations. Supervising the work and performance of the SA(s).

 Responsibilities

Staff supervision

  • Oversee and monitor the workload and work quality of the SA(s)
  • To act as a Mentor to the SA(s), using your experience to improve the SA(s) knowledge and role performance.
  • Identify any training needs for the SA(s).

E-comms surveillance

  • Performing daily e-comms surveillance for a number of clients, using each client’s surveillance system.
  • Applying your experience and judgement to clear as many of the alerts as possible by identifying ‘false positives’.
  • Where an alert cannot be cleared without further analysis, investigating the alert against data outside of the alert (such as the client’s policies and procedures and any readily available external news or information).
  • Raising any remaining alerts, which are regarded as concerns regarding potential financial crime, directly with the client’s nominated contact (typically the CCO or COO) using the media agreed with the client (this could be via their surveillance system or via email or Teams).
  • Always being ready to discuss concerns with the client and, where considered an urgent case (as strong suspicion of financial crime), then ensuring this is raised/discussed with the client as a matter of high priority.
  • Providing reports to clients at the agreed frequency and in the agreed format (typically monthly, these reports may be extracted directly from the clients’ surveillance systems or may require you to use data from those systems to complete a bespoke report).

Trade Surveillance

  • Liaising with the Risk team where required, to assist them in determining whether a suspicious transaction warrants escalation to the client.
  • In certain cases working with the Risk team to present these alerts to the client.

Client development

  • Maintain a good working relationship with all clients.
  • Communicate with key contact (typically client’s CCO) on a regular basis, at agreed frequencies and using agreed media (with allowance for ad-hoc communications in the case of urgent surveillance cases).

 Knowledge, skills, experience required

Essential Experience

  • Compliance experience working in-house at an FCA regulated firm or in a compliance consulting role.
  • Experience of delivering excellent  customer service  and being  comfortable dealing with senior staff at client firms (such as CCOs, COOs).
  • Broad experience of the regulations under which GRSS’s typical (buy-side) client firms operate (in particular such sections of the FCA Handbook as PRIN, SYSC, COCON, COBS, SUP, MAR).
  • Experience of the relevant regulatory environments pertaining to financial crime broadly, but specifically relating to market abuse (including but not limited to UK MAR, EU MAR,  COCON, FCA MAR handbook).
  • An awareness of the financial crime cases enforced by regulators (in particular the FCA), gained and maintained through staying up to date with the FCA’s publications/press releases and publicly available alerts from firms such as law firms, compliance consultancies.
  • Attention to detail, which is required in the investigation of alerts generated by the clients’ surveillance system.
  • While much of the surveillance is performed alone  you will be part of a team and will need to collaborate well with others, mainly within GRSS but also with service providers and client staff.
  • Ability to manage multiple clients, both performing surveillance and conducting client interactions as required.  This may be face to face, by telephone or by video call (for example on Teams or Zoom).
  • A positive and proactive approach to communications with excellent skills in communicating verbally, in writing and making presentations.

Desired Experience

  • Experience using e-comms and/or trade surveillance systems and the  investigation of alerts identifying potentially suspicious e-comms and/or trades/orders.
  • Submission of STORs
  • Strong IT skills to assist in GRSS’s development of internal systems and utilisation of clients’ surveillance systems.

Systems – Essential

  • Proficient in Microsoft Office (ideally in an O365 environment).
  • Experience working with a compliance management platform (for client staff personal interaction such as PAD, G&E, attestations).

Systems – Desired

  • Proficiency in the use of one of the available e-comms or trade surveillance systems, such as:
    • SteelEye
    • Fingerprint
    • eFlow
    • LiquidMetrix
    • MCO

 Qualifications required

Non essential, but the following would be helpful:

  • CISI Diploma in Investment Compliance.
  • Individual modules of the CISI Diploma.
  • Other professional compliance qualifications.
  • Other professional qualifications.

 Contact

[email protected]

Further information

For more information on GRSS, its services and the Team, see:  www.grss.group

Read Less Job Description

Surveillance Analyst (“SA”)

 Job title

Surveillance Analyst (“SA”)

 Reporting to

Senior Surveillance Analyst

 Direct reports

None

 Location

GRSS London office, though a high proportion of time can be home based.

 Role objective

Conducting electronic communications (“e-comms”) surveillance using clients’ surveillance systems and liaising with our Risk team regarding certain trade surveillance investigations.

 Responsibilities

E-comms surveillance

  • Performing daily e-comms surveillance for a number of clients, using each client’s surveillance system.
  • Applying your experience and judgement to clear as many of the alerts as possible by identifying ‘false positives’.
  • Where an alert cannot be cleared without further analysis, investigating the alert against data outside of the alert (such as the client’s policies and procedures and any readily available external news or information).
  • Raising any remaining alerts, which are regarded as concerns regarding potential financial crime, directly with the client’s nominated contact (typically the CCO or COO) using the media agreed with the client (this could be via their surveillance system or via email or Teams).
  • Always being ready to discuss concerns with the client and, where considered an urgent case (as strong suspicion of financial crime), then ensuring this is raised/discussed with the client as a matter of high priority.
  • Providing reports to clients at the agreed frequency and in the agreed format (typically monthly, these reports may be extracted directly from the clients’ surveillance systems or may require you to use data from those systems to complete a bespoke report).

Trade Surveillance

  • Liaising with the Risk team where required, to assist them in determining whether a suspicious transaction warrants escalation to the client.
  • In certain cases, working with the Risk team to present these alerts to the client.

Client development

  • Maintain a good working relationship with all clients.
  • Communicate with key contact (typically client’s CCO) on a regular basis, at agreed frequencies and using agreed media (with allowance for ad-hoc communications in the case of urgent surveillance cases).

 Knowledge, skills, experience required

Essential Experience

  • Compliance experience working in-house at an FCA regulated firm or in a compliance consulting role.
  • Experience of delivering excellent customer service  and being  comfortable dealing with senior staff at client firms (such as CCOs, COOs).
  • Broad experience of the regulations under which GRSS’s typical (buy-side) client firms operate (in particular such sections of the FCA Handbook as PRIN, SYSC, COCON, COBS, SUP, MAR).
  • Experience of the relevant regulatory environments pertaining to financial crime broadly, but specifically relating to market abuse (including but not limited to UK MAR, EU MAR, COCON, FCA MAR handbook).
  • An awareness of the financial crime cases enforced by regulators (in particular the FCA), gained and maintained through staying up to date with the FCA’s publications/press releases and publicly available alerts from firms such as law firms, compliance consultancies.
  • Attention to detail, which is required in the investigation of alerts generated by the clients’ surveillance system.
  • While much of the surveillance is performed alone you will be part of a team and will need to collaborate well with others, mainly within GRSS but also with service providers and client staff.
  • Ability to manage multiple clients, both performing surveillance and conducting client interactions as required.  This may be face to face, by telephone or by video call (for example on Teams or Zoom).
  • A positive and proactive approach to communications with excellent skills in communicating verbally, in writing and making presentations.

Desired Experience

  • Experience using e-comms and/or trade surveillance systems and the investigation of alerts identifying potentially suspicious e-comms and/or trades/orders.
  • Submission of STORs
  • Strong IT skills to assist in GRSS’s development of internal systems and utilisation of clients’ surveillance systems.

Systems – Essential

  • Proficient in Microsoft Office (ideally in an O365 environment).
  • Experience working with a compliance management platform (for client staff personal interaction such as PAD, G&E, attestations).

Systems – Desired

  • Proficiency in the use of one of the available e-comms or trade surveillance systems, such as:
    • SteelEye
    • Fingerprint
    • eFlow
    • LiquidMetrix
    • MCO

 Qualifications required

Non essential, but the following would be helpful:

  • CISI Diploma in Investment Compliance.
  • Individual modules of the CISI Diploma.
  • Other professional compliance qualifications.
  • Other professional qualifications.

 Contact

[email protected]

Read Less Job Description
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Nicholai Cumbo
Surveillance Analyst

Nicholai previously held the position of Senior Risk Officer at ACA Mirabella, where he was responsible for on-boarding clients, managing relationships and reviewing clients’ investment processes, risk management processes, strategy complexity, and operational arrangements. He was also responsible for compiling and submitting data for Regulatory Reporting. 

After graduating with a B.Sc. in Mathematics and Physics, he transitioned to finance, by completing a post graduate certificate in the Mechanics of Risk Management. He followed this up by sitting for the FRM and became a Certified Financial Risk Manager.

Eliz

Elizabeth Mallia
Surveillance Analyst

An awardee of the Marie Curie Actions scholarship, Elizabeth built up her data crunching and analytical skills in theoretical motor neuroscience where she investigated brain mechanisms in action initiation at the Institute of Neurology, University College London.

She transferred her skillset to financial services in 2017, where she formed part of a formidable risk team at the regulatory hosting platform, ACA Mirabella. There she held the position of Senior Risk Associate, where she concentrated on risk management for funds with model-based strategies, focusing primarily on insurance-linked security investments. As part of the same role, Elizabeth worked with a subsection of the team on consolidating and improving the surveillance framework for potential market abuse of the platform’s diverse clientele, promoting an evidence-based approach in the set-up of the framework. 

Having also previously had the opportunity to study and work at various neuro-research institutions, including Karolinska Institutet, Stockholm and Radboud UMC, Nijmegen, Elizabeth brings multi-faceted experience in breaking down complex problems to facilitate custom solutions.

RF

Ryan Farrugia
Surveillance Analyst

Ryan most recently held the position of Senior Risk Associate at ACA Mirabella, where he was responsible for reviewing clients’ investment processes, risk management processes, strategy complexity, and operational arrangements. He was responsible for monitoring clients’ trading activities daily, including risk/trading limits. Ryan was also involved with the creation of the Governance Risk Compliance Operations Unit within the company. 

After graduating with a Bachelors’ Degree in Commerce, a Post Graduate Certificate in Finance, and a Master’s Degree in Investment and Finance, Ryan spent over two years at APS Bank in Risk Management and Finance.

TJ

Tim Jukes
Senior Surveillance Analyst

For the last five years, Tim held the position of Senior Compliance Consultant at ACA Mirabella overseeing a wide range of complex and large firms on the hosted platform. 

Tim began his career at Price Waterhouse in 1986, where he qualified as a Chartered Accountant. Following qualification, Tim transferred to Hong Kong, where he spent 5 years specialising in the audit of multinational trading and finance entities. Tim spent 18 months on secondment at the Hong Kong Securities and Futures Commission developing an inspection regime for asset managers and advisers. 

On returning to the UK, Tim spent 3 years at IMRO, a predecessor to the FCA, specialising in asset management supervision. Tim subsequently undertook several senior in-house compliance and finance roles across a range of start-up and large asset managers specialising in open-ended funds and, subsequently, private equity. Tim then moved into compliance consulting with Cordium and more recently spent 5 years working at ACA Mirabella overseeing a wide range of hosted clients.

PS

Paul Springer
Senior Surveillance Analyst

Paul held the position of Senior Compliance Consultant at ACA Mirabella, where he was responsible for monitoring some of the largest clients and most complex served by Mirabella. He is a compliance professional with 25+ years of regulatory experience. 

At ACA Mirabella, as well as implementing a compliance infrastructure at each client and conducting ongoing compliance reviews, Paul’s role encompassed oversight and review of clients’ electronic communications (employing Fingerprint) and their staff members’ personal compliance interactions (utilising Compliance ELF). 

Paul spent 5 years at the FCA (then the FSA) as the Manager of a Corporate Authorisation team, followed by approximately 20 years of compliance experience in the financial services industry. He has worked in-house and held the Compliance Officer and Money Laundering Reporting Officer roles for approximately 12 years, firstly at a broking firm which he joined at start-up, and then a hedge fund manager. Paul also spent over 3 years working at a leading compliance consultancy, providing compliance support to clients (including full-scope and sub-threshold AIFMs, investment managers and advisers).  He is a qualified Chartered Accountant.

George

George Camilleri
Head of Operations

George worked at ACA Mirabella for the past six years as Head of Risk Operations and managed the Malta-based Risk Team responsible for all the Firm’s risk monitoring and regulatory reporting. 

He holds an MSc in Financial Mathematics from the University of Leeds, focusing on quantitative risk management, and a BSc in Mathematics and Physics from the University of Malta. He has also taken several short courses, including the Oxford Private Markets Certificate at the Saїd Business School.

In his free time, George volunteers for non-governmental organisations within the cultural sector in Malta, having an interest in the arts, classical music, and opera.

Contact George
sarah

Sarah Donnelly
Head of Sales

Sarah recently left ACA Mirabella, where she held the role of Head of Sales. In this role, she was focused on the company’s growth, from targeting new business opportunities to nurturing existing client relationships.

Sarah is working towards the CIPD Foundation Certificate in People Practice.

Contact Sarah
fx-gs

Joe Vittoria
CEO

Joe was most recently the CEO and Founder of the Mirabella Group. During the eight years that Joe grew the Mirabella business, it became the recognised leader in regulatory hosting in the UK. As its CEO and an experienced Compliance Officer, he was responsible for ensuring regulatory compliance of Mirabella and its appointed representative clients. During his tenure at Mirabella, the firm fully and successfully complied with its regulatory obligations, which included the FCA (UK), MFSA (Malta), and the NFA/ CFTC (USA).

Mirabella conducted a thorough surveillance process across all its clients’ activities, which included over $19bn in assets under management, across over 50 investment mandates, managed by over 200 portfolio managers and traders. The investment strategies it hosted ranged from Private Equity and Real Estate to complex credit and derivative processes, with the majority in long/short equity.

Apart from his experience at Mirabella, Joe has acted as COO to other investment management firms, which included quant, debt and credit strategies. Before starting in the alternative investment management industry in 1998, Joe worked at Salomon Brothers which he joined in 1985, after graduating from Yale with a BA in Economics.

Contact Joe