Trade Practice Investigator
Core
Investigate potential trade practice rule violations and abusive trading activity in derivatives markets using surveillance tools and data analysis.
Role type
Entry-level Trade Practice Investigator (Market Regulation)
Builds
Compliance reports, investigation findings, and recommendations for market enforcement
Domain
Financial services / Derivatives markets / Regulatory compliance
Deliverable
client delivery
Required skills
Data analysis, statistical modeling, report writing, oral communication, case management
Preferred skills
Python, R, Data Visualization, exchange/regulatory experience
Technologies
MS Word, MS Excel, Python, R, Data Visualization tools
Responsibilities
Perform program reviews to detect rule violations (spoofing, wash trading, etc.), evaluate complaints and conduct independent research, conduct comprehensive investigations and take recorded statements, produce argumentative reports for management and counsel
Seniority
Entry-level, supervised IC