Process Associate
Core
Investigate trading alerts and market-moving events to detect insider trading, market manipulation, and regulatory violations within global capital markets.
Role type
Associate, Market Surveillance Compliance
Builds
Trade-surveillance parameters and automated surveillance models
Domain
Financial Services / Capital Markets / Compliance
Deliverable
client delivery
Required skills
Analysis of trading alerts, research of market-moving events, investigation of trading issues, liaison with strategy and engineering groups, coordination with Anti-Money Laundering groups, drafting narratives on trading strategies, multi-tasking
Preferred skills
Proficiency with Bloomberg and Reuters, ability to identify and draft narratives explaining trading strategies, interest in capital markets and current events, relevant certifications (NISM, CFA)
Technologies
MS Excel, PowerPoint, Bloomberg, Reuters
Responsibilities
Identify potential insider trading and market manipulation scenarios through investigations; Research market-moving events and create market color; Investigate potential trading issues flagged by business units; Liaise with strategy groups and Engineering for surveillance model development; Coordinate with Anti-Money Laundering Group on trading-related investigations; Pursue ad-hoc projects related to trading around market-moving news events; Participate in working groups to enhance trade surveillance controls
Seniority
Junior, 1-2 years experience
