We are looking for a Trade Surveillance Analyst to join a boutique prime brokerage firm/FinTech company. You will be pivotal in ensuring the firm's compliance with trading regulations and market conduct standards. Responsibilities include monitoring, analysing, and reporting any suspicious or unusual trading activities to mitigate risks such as insider trading, market abuse, and other regulatory violations.
Responsibilities:
* Trade Monitoring: Continuously oversee trading activities to identify potential breaches such as market abuse and insider trading.
* Alert Analysis & Investigation: Examine and investigate alerts generated by systems, assessing trading patterns and market conditions.
* Detailed Reporting: Compile thorough investigation reports and escalate Suspicious Transaction and Order Reports (STORs) to the MLRO and relevant committees promptly.
* Compliance Collaboration: Work with Risk and Compliance teams to ensure adherence to internal policies and contribute to the development of surveillance procedures.
* System Improvement: Partner with IT and other stakeholders to enhance surveillance tools and systems, participating in testing and ensuring ongoing effectiveness.
Requirements:
* Strong skills in Market Abuse, MAR, MIFID II, and SYSC compliance.
* Extensive understanding of financial crime issues, including ABC, Fraud, MAR, Sanctions, AML/CTF, and JMLSG guidance for brokerage products.
* Skilled in using trade surveillance systems and data analysis tools (e.g., Excel, SQL).
* Familiarity with market data platforms like Bloomberg or Refinitiv is advantageous.
* Strong ability to interpret complex trading data and identify patterns that may indicate regulatory breaches.