Responsibilities
- Responsible for the timely analysis of alerts leading to the detection and prevention of market misconduct.
- Identify areas of concern and escalate to stakeholders; quickly highlight abnormal and/or aberrant activity to senior management and product heads.
- Contribute to the design and development of models to enhance surveillance coverage, including but not limited to various forms of conduct risk, compliance policies, and market manipulation.
- Perform ad-hoc reviews of trading activity by analyzing complex situations, identifying high risk behaviors, and applying judgment to resolve issues in an efficient manner.
- Compile analysis into meaningful summaries and make findings available to relevant stakeholders such as Legal and Compliance.
- Keep informed of regulatory, business, and market structure changes that impact the surveillance program and continually look for methods to improve coverage and performance.
- The ideal candidate possesses exceptional analytical and communication skills needed for dealing with market participants regarding activity under review.
Requirements
- The successful candidate should have at least 5 years of industry experience, ideally in financial services compliance, at a financial services regulator, exchange/trading venue or similar experience, with a good understanding of financial markets and trading.
- Proven experience working in a rapidly changing and complex work environment.
- Strong functional knowledge of trade surveillance and exception based monitoring.
- Substantial knowledge of financial/trading regulatory frameworks.
- Strong communication skills, both written and verbal.
- Resourceful, results oriented, self starter with the ability to persevere and overcome obstacles.
- Demonstrate a high level of initiative, analytical skills, and impeccable integrity.
- Digital Asset product and market structure knowledge is a plus.
- Tableau, Python, and SQL skills are a plus.
