Trade Surveillance Analyst (Generalist and Trade Surveillance role)

THE COMPANY:

We have been instructed by our client, a boutique investment bank, who are looking to hire a Trade Surveillance Analyst.  The ideal candidate will possess a strong understanding of financial markets, regulations, and trading practices.

THE RESPONSIBILITIES:

• Continuously monitor real-time and historical trading data to detect unusual or suspicious trading patterns.
• Use surveillance systems and analytical tools to identify potential cases of market abuse, such as insider trading, spoofing, front-running, wash trades, and other manipulative practices.
• Analyse large volumes of trade data to identify trends, patterns, and potential anomalies that could indicate market abuse.
• Develop and utilise statistical models and algorithms to assess the probability of market abuse.
• Investigate alerts generated by surveillance systems to determine if there is sufficient evidence of market abuse.
• Document investigation findings and prepare detailed reports for internal stakeholders or regulatory authorities.
• Escalate confirmed cases of market abuse to compliance or legal teams, providing supporting evidence and analysis.
• Work closely with compliance and legal departments to ensure that surveillance activities comply with regulatory requirements.
• Assist with internal investigations and regulatory inquiries, providing necessary information and context.
• Stay informed about regulatory developments and changes in market abuse laws and regulations, such as those from the SEC, FINRA, FCA, ESMA, etc.
• Ensure that surveillance activities align with current regulations and industry best practices.
• Collaborate with IT and technology teams to develop, implement, and maintain trade surveillance systems and tools.
• Provide feedback on system performance and suggest improvements to enhance surveillance capabilities.
• Train and mentor junior team members in trade surveillance techniques, tools, and regulatory requirements.
• Participate in training sessions and industry conferences to stay updated on best practices and emerging trends.
• Maintain thorough records of surveillance activities, investigations, and outcomes.
• Ensure compliance with record-keeping requirements set by regulatory bodies.
• Providing general compliance support to the senior compliance officer responsible for Investment Banking
• Monitoring information barriers between public and private sides of the business
• Carry out conflicts checks and maintain the firms grey/restricted lists
• Provide compliance inductions/training to new joiners
• Maintain evidence, logs and audit trails for decisions, approvals, escalations and monitoring activities
• Providing client take-on oversight and support

EXPERIENCE REQUIRED:

• Ideal candidate would have 1-2 years’ experience in a similar role. (Generalist or Trade Surveillance role)
• Knowledge of Fidessa would be advantageous
• Excellent Excel, PowerPoint and Word Skills.
• Excellent understanding of relevant policies and regulations, particularly relating to Market Abuse, Anti-Money Laundering and Financial Crime.
• Upholds and promotes high ethical and compliance standards including integrity, honesty and fair dealing.

For further information please contact Hannah Tabatabai