Trade Surveillance analyst

Job Description:

The Trade Surveillance analyst is primarily accountable for conducting "Market Conduct Trade Surveillance” which begins with computerized analyses of activities that trigger “alerts” requiring additional review to determine whether the activity was a violation of a law, rule, regulation, policy or procedure requirement related to one or more Market Conduct Risk Behaviors.

The Trade Surveillance analyst is accountable for reviewing alerts according to prescribed guidance and reporting and analyzing results. This role may participate in the development and design of the scripts used to review the alerts. The Trade Surveillance analyst collaborates with Compliance and Operational Risk to identify themes and trends at the front-line unit, control function, and enterprise level.

Key Responsibilities:

The Trade Surveillance analyst is accountable for providing consistent, sufficient, and quality alert disposition in a timely manner and/or supporting operational and administrative initiative activities related to the Trade Surveillance of the Functional area he or she supports. This role interacts extensively with internal or external contacts to identify, research, analyze, and resolve complex problems.

The trade Surveillance analyst's daily responsibilities include reviewing alerts utilizing prescribed scripts, identifying and documenting defects, and providing daily updates to leads and managers as needed. This role works closely with Risk, Compliance, and SMEs to conduct trade Surveillance.

The Trade Surveillance analyst has intermediate knowledge of the system(s) of record required to conduct trade surveillance activities and translates business strategy into work programs and processes. This role may contribute to and/or participate in multiple special projects.

Required Qualifications and Experience:

• 4+ years of work experience in Trade Surveillance or related area
• Bachelor’s Degree or equivalent experience
• Adaptability to the dynamic work environment with multiple priorities and strict deadlines.
• Ability to work in a team-oriented environment.
• Ability to communicate verbally, written, and interpretable to all levels of the organization.
• Good understanding of business, markets, and products
• Intellectual curiosity, anticipating risk, and forward-thinking
  
  

Desired Experience

• Understanding of the Financial Industry, front or back office experience or market and product knowledge (Equities, Foreign Exchange, Fixed Income and Commodities/Futures Options.
• Front office or middle office experience or trading-related experience
• Experience using surveillance tools such as Actimize and/or Smarts Surveillance platforms
• Excellent interpersonal, written and verbal communication skills
  
  

Skills and Competencies:

• General understanding of trade surveillance and the rules, laws, and regulations that address Market Misconduct
• Knowledge of Fixed Income and Equities related products
• Effective Verbal Communication
• Business Writing and Acumen
• Acts with Courage and Conviction
• Strong Business Acumen
• Drives Operational Excellence
• Critical Thinking and Analysis
• Attention to Detail
• Strong Partnership and Influencing Skills
• Collaboration
• Time Management
• Complex Problem Solving
• Judgment and Decision Making