Sr Analyst - Compliance Surveillance
Core
Investigating trade surveillance alerts, monitoring best execution activities, and resolving potential compliance irregularities to ensure adherence to regulatory requirements.
Role type
Senior Analyst - Compliance Surveillance
Builds
Regulatory compliance controls and surveillance reporting for an asset management firm
Domain
Financial Services / Investment Management / Compliance
Deliverable
dashboards & analysis
Required skills
Trade surveillance, Financial products knowledge, Trading principles, Regulatory monitoring, Process documentation, Stakeholder coordination, Analytical skills, Attention to detail
Preferred skills
Charles River, Bloomberg, Aladdin, MS Power BI, Tableau
Responsibilities
Review daily alerts from Market Abuse modules, Monitor Best execution activities and ecomm surveillance, Research and document resolutions for portfolio manager trading alerts, Monitor regulatory requirement developments, Prepare documentation to substantiate compliance controls, Assist in compliance project delivery, Resolve complex compliance issues, Maintain or draft process procedure documents
Seniority
Mid-Senior, hands-on IC
