Mid-Level, Senior
Surveillance Analyst
Join our Compliance Conduct and Operational Risk division as a Surveillance Analyst responsible for identifying potential instances of market abuse, notably insider trading and market manipulation, using established surveillance systems. You will conduct surveillance of activities in Firm and Employee accounts to comply with information barrier and restricted list policies. The Trade Surveillance team assesses risks across markets using the established surveillance program to help safeguard the firm against reputational and/or financial risk. You will work in alignment with internal policies and regulatory requirements.
Job summary:
As a Surveillance Analyst within Compliance Conduct and Operational Risk, you will be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation, using surveillance systems. You will conduct surveillance of activities in Firm and Employee accounts to comply with information barrier and restricted list policies. You will review and analyze trade surveillance alerts across multiple asset classes and programs to identify potential market misconduct and technical rule violations. You will document and escalate matters appropriately while collaborating with business and compliance stakeholders and regional Surveillance teams. You will contribute to the established surveillance program to help safeguard the firm against reputational and/or financial risk while complying with internal policies and regulatory requirements.
Job responsibilities :
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Review trade surveillance alerts and conduct analysis of trading and market activity for asset classes and programs such as Equities, information barriers, Fixed Income, Futures/Options, and Asset Management
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Document reviews and dispositions of exceptions and escalate matters appropriately
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Collaborate with business and compliance stakeholders to identify potential market misconduct and technical rule violations and disposition accordingly, including through interaction with regional Surveillance teams
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Conduct alert-based reviews for potential violations of laws, rules, and regulations
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Perform additional duties as assigned and identify areas for process improvement and contribute toward them
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Identify key issues, risks, trends, and observations and highlight them to management and key stakeholders
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Work with peers to handle multiple reports and engage in result-oriented tasks in a fast-paced environment, and identify areas for process improvement and contribute toward them
Required qualifications, capabilities, and skills:
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Qualified graduate with a minimum of 6 years of trade surveillance/product experience with exchange-traded products (including equities, futures, and fixed income) and/or information barriers/asset management
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Understanding of markets and potential market manipulative behavior, with demonstrated ability to conduct reviews relating to regional rules and regulations
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Experience reviewing trading activity for Compliance and familiarity with securities laws and regulations for identifying potential trading violations
Preferred qualifications, capabilities, and skills:
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Experience with SMARTS, Actimize, or similar trade surveillance systems
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Experience navigating and sourcing information in Bloomberg/public sources
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Working knowledge of securities markets
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