Job Overview:
We are seeking a detail-oriented and motivated Compliance Trade Surveillance and Transaction Surveillance Analyst to join our compliance team. The ideal candidate will have 1-3 years of relevant experience in trade and transaction surveillance within the financial services industry. This role is critical in ensuring the firm’s compliance with regulatory requirements and internal policies by monitoring trading activities and transactions for potential suspicious activity.
Key Responsibilities:
- Monitor and analyze trade and transaction data to detect potential violations of regulatory requirements and internal policies.
- Investigate and escalate suspicious trading activities, including market abuse, insider trading, and other forms of financial misconduct.
- Conduct periodic reviews of surveillance systems and processes to enhance detection capabilities and efficiency.
- Prepare reports of findings and assist in the development and implementation of corrective actions
- Collaborate with other compliance team members, front office, and IT departments to address issues and improve surveillance systems.
- Stay current with regulatory changes, industry trends, and best practices in trade and transaction surveillance.
- Assist in the development and delivery of compliance training programs for employees.
Requirements:
- Bachelor’s degree in finance, economics, business administration, or a related field.
- 1-3 years of experience in trade surveillance, transaction surveillance, or a related compliance role within the financial services industry.
- Strong understanding of regulatory requirements related to trade and transaction surveillance (e.g., SFA, SGX-DT, FINRA, MiFID II).
- Proficiency in using trade surveillance systems (e.g., SMARTS, Actimize, NICE, or similar platforms).
- Excellent analytical and problem-solving skills with a keen attention to detail.
- Strong communication skills, both written and verbal, with the ability to present findings clearly and concisely.
- Ability to work independently and collaboratively in a fast-paced, dynamic environment.
- Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).
- Professional certifications are a plus.
