Surveillance Specialist

As a trade surveillance personnel in the Compliance Conduct and Operational Risk division, your role involves identifying potential instances of market abuse, particularly insider trading and market manipulation. You will utilize well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team plays a crucial role in mitigating risks across markets using established surveillance programs to safeguard the firm against reputational and financial risks, all while adhering to internal policies and regulatory requirements. Key Responsibilities: - Review trade surveillance alerts and analyze trading and market activity across various asset classes such as Equities, Information barriers, Fixed income, Futures/ Options, and Asset management. - Document the review and disposition of exceptions, escalating matters appropriately when necessary. - Collaborate with business and compliance stakeholders to identify potential market misconduct, technical rule violations, and take necessary actions, including interaction with regional Surveillance teams. - Conduct alert-based reviews to identify potential violations of laws, rules, and regulations. - Work collaboratively with peers, manage multiple reports, and engage in result-oriented tasks within a fast-paced environment. - Identify areas for process improvement and contribute towards enhancing surveillance practices. - Highlight key issues, risks, trends, and observations to management and key stakeholders. Qualifications Required: - Qualified graduate with a minimum of 3 years of trade surveillance/product experience involving exchange traded products (equities, futures, Fixed income) and/or information barriers/Asset management. - Understanding of markets and potential market manipulative behavior with a demonstrated ability to conduct reviews in alignment with regional rules and regulations. - Experience in reviewing trading activity for Compliance, along with familiarity with securities laws and regulations to identify potential trading violations. Additional Company Details (if mentioned): - Experience with SMARTS, Actimize, or similar Trade surveillance systems is considered a plus. - Proficiency in navigating and sourcing information from Bloomberg and public sources. - Working knowledge of securities markets is preferred.,