Trade Surveillance Analyst

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 in accordance with prescribed guidance, and, reporting and analysis of results.

This role may participate in development and design of the scripts used to review the alerts. The Trade Surveillance analyst collaborates with Compliance and Operational Risk on the identification of 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 supports 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.

Daily responsibilities of the Trade Surveillance analyst 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 and / or participate in multiple special projects.Required Qualifications and Experience :

• 2+ years work experience in Trade Surveillances or related area
• Bachelor’s Degree or equivalent experience
• Adaptability to dynamic work environment with multiple priorities and strict deadlines.
• Ability to work in a team-oriented environment.
• Ability to communicate through verbal, written and interpretational communication skills to all levels of the organization.
• Good understanding of business, markets and products
• Intellectual curiosity, anticipate risk and forward thinking

Desired Experience

• Understanding of the Financial Industry, front office 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 Shift : 1st shift (United States of America) Hours Per Week : 40
30+ days ago