Trade Surveillance Analyst

Responsibilities

• Analyze surveillance alerts and reports, conducting investigations as necessary and documenting findings
• Identify patterns that may indicate insider trading, market manipulation, or misuse of material non-public information
• Apply quantitative and qualitative judgment to assess risk and prioritize reviews
• Conduct follow-up analysis, including review of trading context, market events, and related activity
• Perform business inquiries where required to understand investment rationale
• Document findings clearly, accurately, and in line with internal standards
• Escalate potential issues to senior Compliance or Legal partners as appropriate
• Contribute to the design, enhancement, and ongoing maintenance of surveillance programs for both trading activity and electronic communications, leveraging AI, industry best practices and technology solutions
• Collaborate with Compliance, Legal, IT, and other stakeholders to address surveillance issues and enhance controls
• Monitor regulatory developments and ensure surveillance processes remain compliant with applicable laws and regulations (e.g., SEC, FINRA, FCA)
• Prepare regular management reports on surveillance activities, trends, and issues
• Lead or participate in projects to improve surveillance technology and data analytics capabilities
• Respond to regulatory inquiries and support internal/external audits related to surveillance

Qualifications

• 2-6 years of experience in trade surveillance, compliance, or related functions within the financial services industry
• Strong analytical capabilities and sound professional judgment
• Ability to synthesize complex information and communicate conclusions clearly in writing
• High standards of integrity, discretion, and attention to detail
• Knowledge of securities regulations and market abuse risks
• Effective written and verbal communication skills with ability to present complex information clearly
• Ability to work collaboratively across departments and with senior management