Trade Surveillance Analyst

The role of Trade Surveillance Personnel at Compliance Conduct and Operational Risk division involves identifying potential instances of market abuse, specifically insider trading and market manipulation. Utilizing established surveillance systems, you will be responsible for monitoring activities in Firm and Employee accounts to ensure compliance with information barrier and restricted list policies. Your primary task will be to analyze trading and market activity for various asset classes such as Equities, Information barriers, Fixed income, Futures/Options, and Asset management. This analysis includes reviewing trade surveillance alerts and documenting exceptions while escalating relevant matters to appropriate stakeholders. Additionally, you will collaborate with business and compliance teams to identify potential market misconduct and technical rule violations, interacting with regional Surveillance teams as needed. Conducting alert-based reviews to ensure adherence to laws, rules, and regulations will be a crucial aspect of your responsibilities. In this fast-paced environment, you will work alongside peers, handling multiple reports, and contributing towards process improvements. It is essential to identify key issues, risks, trends, and observations for communication to management and key stakeholders. The ideal candidate for this position should hold a graduate degree and possess a minimum of 6 years of trade surveillance/product experience with exchange-traded products, information barriers, or asset management. A thorough understanding of markets, market manipulative behavior, and the ability to conduct reviews in alignment with regional rules and regulations are required. Familiarity with securities laws and regulations for identifying potential trading violations is a key competency. Experience with trade surveillance systems such as SMARTS, Actimize, or similar tools is advantageous. Proficiency in navigating and sourcing information from Bloomberg or public sources is preferred. A working knowledge of securities markets will be beneficial in fulfilling the responsibilities of this role.,