Surveillance Analyst

As a trade surveillance personnel at Compliance Conduct and Operational Risk division, you will play a crucial role in identifying potential instances of market abuse, specifically insider trading and market manipulation. Your responsibilities will include utilizing well-known surveillance systems to monitor activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team's primary objective is to assess risks across markets using established surveillance programs to protect the firm from reputational and financial risks while adhering to internal policies and regulatory requirements. Your key responsibilities will involve: - Reviewing trade surveillance alerts and analyzing trading and market activity across various asset classes such as Equities, Information barriers, Fixed income, Futures/Options, and Asset management. - Documenting the review and disposition of exceptions, as well as escalating relevant matters appropriately. - Collaborating with business and compliance stakeholders to identify potential market misconduct and technical rule violations, including interaction with regional Surveillance teams. - Conducting alert-based reviews to detect potential violations of laws, rules, and regulations. - Working with peers to handle multiple reports efficiently in a fast-paced environment and identifying areas for process improvement. - Bringing key issues, risks, trends, and observations to the attention of management and key stakeholders. To be successful in this role, you should possess the following qualifications, capabilities, and skills: - A qualified graduate with a minimum of 6 years of trade surveillance/product experience involving exchange-traded products (equities, futures, and fixed income) and/or information barriers/asset management. - Knowledge of markets and potential market manipulative behavior, along with the ability to conduct reviews in compliance with regional rules and regulations. - Experience in reviewing trading activity for compliance and familiarity with securities laws and regulations to identify potential trading violations. Preferred qualifications, capabilities, and skills include: - Experience with SMARTS, Actimize, or similar trade surveillance systems. - Familiarity with navigating and sourcing information in Bloomberg and other public sources. - Working knowledge of securities markets is advantageous. Your role as a trade surveillance personnel is critical in safeguarding the firm against financial and reputational risks while ensuring compliance with regulatory requirements. Your attention to detail, analytical skills, and ability to collaborate with various stakeholders will be essential in identifying and addressing potential market misconduct effectively.,