Trade Surveillance Analyst

Northbound Executive Search; New York (NY); On-site; USD 85,000 - 105,000; Full time

Job summary

Northbound Executive Search is seeking a Trade Surveillance Analyst in New York to monitor regulatory trends and design surveillance patterns ensuring comprehensive coverage. You will collaborate with Compliance and Front Office to develop multi-data alerts and risk metrics, handle KYC/AML concerns, and respond to regulatory reporting.

Candidates should hold a bachelor’s or higher in economics/CS/finance and have 2–3 years in financial services, with strong analytical and written communication

Qualifications

• Bachelor’s Degree or advanced degree in Economics, Computer Science, or finance.
• Strong interpersonal and written ability.
• Demonstrated high level of initiative, analytical skills, and impeccable integrity.
• Ability to multi-task multiple projects within specified time restraints
• At least 2-3 years of professional experience in the Financial Services industry.

Responsibilities

• Responsible for the timely analysis of alerts leading to the detection and prevention of market or firm misconduct.
• Effectively review and analyze complex situations, identify high risk attributes and apply judgement to resolve issues in an efficient manner with minimal supervision.
• Compile analysis into meaningful summaries and make findings available to relevant stakeholders.
• Case Management Facility: Participate in establishing a facility for case management, data reporting and a holistic approach to risk mitigation.
• Develop a systematic program for the case management reviews, workflow, and reporting.
• Critical knowledge on handling KYC, AML, Compliance conflicts
• Market manipulation schemes, such as: collusion, front-running, pre-arranged trading, layering, spoofing, ramping, etc.

Skills

Analytical skills

Regulatory awareness

Interpersonal skills

Written communication

Initiative

Education

Bachelor's or advanced degree in Economics/CS/Finance

Job description

Trade Surveillance Analyst will be responsible for actively following regulatory trends and responsible of taking appropriate action updating and designing surveillance patterns to ensure the firm has inclusive surveillance coverage. The Compliance personnel will also contribution in developing multi-data format alerts and advanced market risk metrics; all of which may be utilized to conduct monitoring and to respond to regulatory reports. The Trade Surveillance Analyst will work with the Compliance and Front Office officials to coordinate and establish the various surveillance needs.

Job Responsibilities

• Responsible for the timely analysis of alerts leading to the detection and prevention of market or firm misconduct.
• Effectively review and analyze complex situations, identify high risk attributes and apply judgement to resolve issues in an efficient manner with minimal supervision.
• Compile analysis into meaningful summaries and make findings available to relevant stakeholders.
• Case Management Facility: Participate in establishing a facility for case management, data reporting and a holistic approach to risk mitigation.
• Develop a systematic program for the case management reviews, workflow, and reporting.
• Critical knowledge on handling KYC, AML, Compliance conflicts
• Market manipulation schemes, such as: collusion, front-running, pre-arranged trading, layering, spoofing, ramping, etc.

Job Requirements

• Bachelor’s Degree or advanced degree in a related field such as Economics, Computer Science, or finance.
• Strong interpersonal and written ability.
• Demonstrated high level of initiative, analytical skills, and impeccable integrity.
• Ability to multi-task multiple projects within specified time restraints
• At least 2-3 years of professional experience in the Financial Services industry.

Compensation

• $85,000 – $105,000