Trade Surveillance Analyst
Core
Conduct trade monitoring and surveillance, review and enhance surveillance systems/reports, and manage regulatory change implementations.
Role type
Trade Surveillance Analyst
Builds
Enhanced trade surveillance systems and reports
Domain
Financial services / Regulatory compliance
Required skills
Trade monitoring, Regulatory compliance, Exchange rules, Audit remediation, Policy drafting, Quantitative analysis, Problem-solving, Market knowledge, Project management, Technical writing
Preferred skills
Smarts broker experience, Mandarin/Cantonese fluency
Technologies
Smarts broker
Responsibilities
Conduct trade monitoring and surveillance, Review and provide suggestions to enhance trade surveillance systems, Manage projects for regulatory change implementations, Craft written instructions for programmers, Assist in handling trading inquiries from regulators and exchanges, Draft and implement firm policies and supervisory procedures, Develop remedial action plans for audit findings
Seniority
Mid-level, hands-on IC