Associate Consultant, Trade Surveillance

Northern Trust

4 - 6 years

2 - 6 Lacs

pune

Posted:2 days ago| Platform:

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Skills Required

front office data analysis wealth management fixed income analytical finance financial services monitoring sql business operations

Work Mode

Work from Office

Job Type

Full Time

Job Description

Trade Surveillance:
o Conduct daily reviews and analysis of trading activity across FX and other asset classes, utilizing surveillance tools and techniques to identify potential market abuse or irregularities.
o Generate and investigate alerts related to insider trading, market manipulation, and other misconduct.
o Escalate suspicious activities to senior management and compliance teams, providing detailed and accurate analysis.
Regulatory Compliance:
o Ensure adherence to global regulatory frameworks, including but not limited to MiFID II, MAR, Dodd-Frank, and other jurisdiction-specific rules.
o Collaborate with compliance and legal teams to maintain a robust surveillance framework aligned with evolving regulations.
FX Surveillance Focus:
o Provide specialized monitoring of FX trading activities, including spot, forwards, and derivatives markets.
o Identify trends and behaviors that may indicate market manipulation, such as front-running or spoofing.
Cross-Asset Expertise (Beneficial):
o Contribute to surveillance efforts across equities, rates, and fixed income, leveraging a multi-asset perspective to strengthen overall surveillance capability.
Stakeholder Collaboration:
o Partner with front-office teams, compliance, and technology to ensure surveillance systems and methodologies are effective and up to date.
o Provide insights and recommendations for process improvements and control enhancements.
Reporting and Documentation:
o Prepare clear, concise, and timely reports for senior management and regulators.
o Maintain meticulous records of all investigations and outcomes.

Key Qualifications and Experience:

4 to 6 years of experience in a trade surveillance role within a bank, regulator, or similar financial institution.
Strong knowledge of market abuse behaviors and tactics, including insider trading, spoofing, layering, and other forms of manipulation.
Solid understanding of global regulatory frameworks and regulations such as MiFID II, MAR, Dodd-Frank, and others.
Expertise in FX surveillance is essential, with demonstrated experience monitoring FX spot, forward, and derivatives markets.
Exposure to equities, rates, and fixed income is highly advantageous.
Proficiency in using surveillance tools such as NICE Actimize, Trading Hub, or similar platforms.

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