Surveillance Analyst
Core
Monitor and review trade and electronic communications surveillance alerts across global trading activity and analyze large datasets to support investigations and regulatory compliance.
Role type
Surveillance Analyst (Compliance & Investigations)
Builds
Surveillance scenarios, detection models, and alert configurations for global trading markets
Domain
Financial services, market surveillance, regulatory compliance
Deliverable
production ML models
Required skills
Market abuse surveillance, data analysis, Python, SQL, Microsoft Excel, regulatory documentation
Preferred skills
US or APAC trade compliance regimes (DCM Core Principles, Reg NMS, SEC/FINRA rules, China Abnormal Trading Rules, Korea Unfair Trade Practices)
Responsibilities
Monitor and review trade and electronic communications surveillance alerts across global trading activity; Analyze large datasets to support investigations, thematic reviews, and surveillance enhancements; Document investigation findings clearly and concisely, maintaining a robust audit trail to regulatory standards; Escalate suspected breaches to senior compliance staff; Contribute to the design, development, and testing of new surveillance scenarios and detection models; Draft and maintain Business Requirement Documents (BRDs) for new or modified surveillance products; Perform user acceptance testing (UAT) for surveillance system enhancements; Analyze alert performance data and recommend calibration adjustments to improve detection quality
Seniority
Mid-level, hands-on IC