Join our Compliance Conduct and Operational Risk division as a Surveillance Analyst responsible for identifying potential instances of market abuse, notably insider trading and market manipulation, using established surveillance systems. You will conduct surveillance of activities in Firm and Employee accounts to comply with information barrier and restricted list policies. The Trade Surveillance team assesses risks across markets using the established surveillance program to help safeguard the firm against reputational and/or financial risk. You will work in alignment with internal policies and regulatory requirements.
Job summary:
As a Surveillance Analyst within Compliance Conduct and Operational Risk, you will be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation, using surveillance systems. You will conduct surveillance of activities in Firm and Employee accounts to comply with information barrier and restricted list policies.
You will review and analyze trade surveillance alerts across multiple asset classes and programs to identify potential market misconduct and technical rule violations. You will document and escalate matters appropriately while collaborating with business and compliance stakeholders and regional Surveillance teams. You will contribute to the established surveillance program to help safeguard the firm against reputational and/or financial risk while complying with internal policies and regulatory requirements.
Job responsibilities :
• Review trade surveillance alerts and conduct analysis of trading and market activity for asset classes and programs such as Equities, information barriers, Fixed Income, Futures/Options, and Asset Management
• Document reviews and dispositions of exceptions and escalate matters appropriately
• Collaborate with business and compliance stakeholders to identify potential market misconduct and technical rule violations and disposition accordingly, inc