ISG Trade Surveillance, Associate, Oversight, Monitoring and Testing
Core
Monitor and investigate trade surveillance reports to identify regulatory and policy breaches by traders and clients across equities, derivatives, fixed income, and commodities.
Role type
Associate Trade Surveillance Analyst
Builds
Independent monitoring and oversight of compliance reports to detect market manipulation and policy violations
Domain
Financial Services / Compliance / Trade Surveillance
Deliverable
dashboards & analysis
Required skills
Trade surveillance analysis, Financial instruments knowledge, Global market regulations, Trading mechanisms, Trade booking and settlements, Data analysis (SQL/Tableau), Regulatory inquiry support, Cross-functional collaboration
Preferred skills
Machine Learning/AI understanding, Model testing, New control design
Responsibilities
Review and analyze trade surveillance reports to escalate breaches, 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 programs, Create management information packs, Assist in regulatory inquiries and audits
Seniority
Associate, hands-on IC