Process Associate
Core
Investigate trading alerts for insider trading, market abuse, and regulatory violations; analyze market-moving events to support compliance recommendations.
Role type
Process Associate (Market Surveillance Compliance)
Builds
Trade-surveillance parameters and automated surveillance models
Domain
Financial services / Capital markets / Compliance
Deliverable
dashboards & analysis
Required skills
Trading analysis, Regulatory investigation, Data analysis (Excel), Market event research, Report writing, Cross-functional collaboration
Preferred skills
Bloomberg/Reuters proficiency, Capital markets knowledge, NISM/CFA certification, Presentation skills
Technologies
Excel, PowerPoint, Bloomberg, Reuters
Responsibilities
Identify potential insider trading and market manipulation scenarios through investigations; Research market-moving events and create market color; Investigate trading issues flagged by business units; Liaise with Anti-Money Laundering Group on trading-related investigations; Pursue ad-hoc projects related to market-moving news events; Participate in working groups to enhance trade surveillance controls.