Process Associate
Core
Detect potential insider trading, market abuse, and regulatory violations through advanced technology-based trading surveillance and investigations.
Role type
Process Associate (Market Surveillance)
Builds
Trade-surveillance parameters and automated surveillance models
Domain
Financial services / Capital markets / Compliance
Deliverable
production ML models
Required skills
Trading alerts analysis, Market-moving event research, Trading investigation, Automated surveillance model development, SAR filing coordination, Trade surveillance program quality enhancement
Preferred skills
Bloomberg/Reuters proficiency, Capital markets interest, Narrative drafting, Multi-tasking
Technologies
MS Excel, PowerPoint, Bloomberg, Reuters
Responsibilities
Identify potential insider trading and market manipulation scenarios through investigations and analysis of trading alerts; Research market-moving events and create market color to develop recommendations; Investigate potential trading issues flagged by business units; Liaise with Anti-Money Laundering Group on trading-related investigations and SAR filings; Pursue ad-hoc projects related to trading around market-moving news events; Participate in working groups focusing on enhancing controls/quality of the trade surveillance program
Seniority
Junior, 1-2 years experience