Trade Surveillance Analyst
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Job Description
Trade Surveillance Analyst focused on compliance monitoring and investigations to ensure market integrity. Responsibilities include analyzing trading patterns and preparing regulatory reports.
Responsibilities:
- Monitor trading activities and surveillance alerts to identify potential market abuse, including spoofing, layering, wash trades, front-running, insider trading, and market manipulation.
- Conduct investigations into suspicious trading patterns and prepare detailed case documentation.
- Review and close surveillance alerts generated through internal and external monitoring systems.
- Liaise with Compliance, Risk, Operations, Product, and Technology teams on surveillance matters and escalations.
- Prepare regulatory reports and responses for exchanges, regulators, and other stakeholders, where applicable.
- Perform periodic reviews of surveillance scenarios, thresholds, and monitoring frameworks to enhance effectiveness.
- Analyze trading behavior across spot, derivatives, and options products to identify emerging risks.
- Maintain MIS, dashboards, and surveillance metrics for management reporting.
- Stay updated on regulatory developments, exchange circulars, and industry best practices.
- Support audits, inspections, and compliance reviews related to market surveillance activities.
- Drive automation and process improvement initiatives to strengthen the surveillance framework.
Requirements:
- Bachelor's or Master's degree in Finance, Commerce, Economics, Law, or a related field.
- 5+ years of experience in Trade Surveillance, Market Surveillance, Compliance Monitoring, or Market Abuse Investigations.
- Prior experience with a Stock Broking firm, Capital Markets organization, Exchange, or Trading Platform is mandatory.
- Strong understanding of securities markets, derivatives, market conduct regulations, and surveillance methodologies.
- Hands-on experience investigating trading alerts and suspicious market activities.
- Familiarity with surveillance tools such as SMARTS, Actimize, Compass or similar monitoring systems is preferred.
- Strong knowledge of regulatory requirements, exchange rules, and market abuse monitoring frameworks.
- Excellent analytical, investigative, and report-writing skills.
- Ability to independently manage complex investigations and interact with senior stakeholders.
- Preferred Skills
- Experience in derivatives, futures, options, and leveraged trading products.
- Knowledge of AML, Financial Crime, and Fraud Monitoring frameworks.
- Proficiency in SQL, Excel, data analytics, or surveillance reporting tools.
- Strong communication and stakeholder management skills.
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