ISG Trade Surveillance, Associate, Oversight, Monitoring and Testing
Core
Monitor and investigate trade surveillance reports to identify regulatory breaches and policy violations by traders and clients.
Role type
Associate trade surveillance analyst
Builds
Compliance oversight and risk management programs
Domain
Financial services / Compliance / Trade Surveillance
Deliverable
dashboards & analysis
Required skills
Trade surveillance, Financial instruments knowledge, Global market regulations, Trading mechanisms, Trade booking and settlements, Data analysis (SQL/Tableau), Regulatory inquiries
Preferred skills
Trade surveillance experience, Machine Learning/AI understanding, Cross-functional collaboration
Responsibilities
Review and analyze trade surveillance reports across asset classes, Investigate surveillance alerts with front office and operations, Resolve escalated alerts and document results, Identify coverage gaps and quality issues, Support tuning and optimization of surveillance controls, Create management information packs, Assist in regulatory inquiries and audits, Work with IT/vendors on tool enhancement and model testing