Trade Surveillance Consultant

Temporary

International Banking Client

Office: Hybrid

Responsibilities:

  • Report to either the EQ/FUT or FI/FX surveillance manager, depending on candidate background and skill set
  • Review and follow up on a variety of trade surveillance alerts and exception reports covering wide range of risks and products (equities, fixed income, FX/treasury services, futures, swaps and other derivatives)
  • Perform market abuse and insider trading investigations utilizing market data, trade data, e-comm and voice records
  • Interact with front office personnel to complete his/her reviews
  • Engage relevant stakeholders to ensure a holistic response to possible detected risk
  • Ensure issues arising from surveillance activities are duly escalated, remediated and memorialized according to procedures
  • Support surveillance KPI collection and distribution, as required
  • Work with a variety of groups, including, but not limited to: Compliance Advisors, Front Office, Operations, IT, and Legal
  • Work on ad hoc projects as necessary
  • Support the refinement of surveillances and the creation/automation of tactical controls as required;
  • Contribute strategic surveillance initiatives
  • Proactively escalate issues to the Head of Market Surveillance as appropriate

Qualifications:

  • Strong oral and written communication skills, with an ability to articulate complex themes
  • Sense of ownership and the ability to work autonomously and proactively
  • Strong attention to detail, with analytical and investigative skills
  • High ethical standards, respect for confidentiality and privacy

Technical Skills & Knowledge

  • 5+ years’ experience in financial services; specific emphasis in securities business is preferred
  • Knowledge of various regulatory agencies’ rules and regulations, as well as market abuse typologies
  • Familiarity with various trade surveillance tools and platforms, special consideration for Bloomberg BTCA, TT and Actimize
  • Experience as a trader, trade surveillance professional, regulator or in a 1LOD/2LOD role is a plus
  • Proficiency with market data and due diligence vendors, such as Bloomberg, Reuters, Edgar, Worldcheck, etc;
  • Advanced experience with Microsoft Word, Excel and PowerPoint
  • Securities licenses is a plus
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