Seeking a skilled Market Surveillance Analyst to join a top-tier Securities Trading Firm!
The Role: The Market Surveillance team is responsible for monitoring trading in equity, derivative, and fixed income products to detect trading activity that could adversely affect the firm and its reputation. Analysts are provided with tools that display potential misconduct and are responsible for analyzing and escalating trading activities that are a cause for concern. They work closely with experienced staff and develop the capacity to conduct high quality routine surveillance with minimal supervision. They also work with Legal, Compliance and other stakeholders to identify business changes, and regulatory developments that warrant updating existing or developing new surveillance patterns to ensure the firm has comprehensive coverage.
Primary Responsibilities:
• Responsible for the timely analysis of alerts leading to the detection and prevention of market or firm damaging misconduct.
• Identify potential concerns and escalate to stakeholders; quickly highlight abnormal and/or aberrant activity to surveillance senior management.
• Contribute to design and development of models to enhance surveillance coverage, including but not limited to various forms of conduct risk, compliance policies, and market manipulation.
• Perform ad-hoc reviews of trading activity by analyzing complex situations, identifying high risk behaviors, and applying judgement to resolve issues in an efficient manner.
• Compile analysis into meaningful summaries and make findings available to relevant stakeholders, such as Legal and Compliance.
Qualifications:
• The successful candidate should have at least some industry experience, ideally in Financial Services Surveillance, Compliance or Regulation teams, with an understanding of financial markets, products, services and processes.
• Knowledge of the US regulatory framework, including an understanding of relevant federal securities laws, rules, and regulations is a plus.
• Knowledge of computer programming and/or data analytics capabilities is also a strong plus.
• Strong communication skills, both written and verbal.
• Resourceful, results oriented, self-starter with the ability to preserver and overcome obstacles.
• Demonstrated high level of initiative, analytical skills, and impeccable integrity.
Education: Bachelor’s degree.
