Equities and Futures & Options Trade Surveillance - Associate
Core
Review and investigate trade surveillance alerts for Equities and Futures & Options to identify market misconduct and regulatory breaches.
Role type
Associate Trade Surveillance Analyst
Builds
Trade surveillance program and market conduct investigations
Domain
Financial Services / Trade Surveillance
Deliverable
client delivery
Required skills
Trade surveillance analysis, regulatory compliance knowledge, market data analysis, case management, stakeholder coordination, investigative skills, risk assessment, system testing, procedure development
Preferred skills
Data analytics tools, programming languages, advanced Microsoft Office
Technologies
Bloomberg, Reuters, Nasdaq SMARTS, Actimize, Tableau, Alteryx, VBA, Python
Responsibilities
Analyze system-generated alerts to identify breaches of laws or policies, conduct analysis using market data sources, partner with business and compliance teams, escalate suspicious activity, monitor escalated matters to completion, support market conduct investigations, contribute to surveillance projects and program enhancements, produce management information and reporting
Seniority
Associate, hands-on IC
