The Market Surveillance team is responsible for monitoring trading in equity, derivative, and FICC products to detect activity that could adversely affect the firm and its reputation. Analysts are provided with market analysis and alerting tools and are responsible for analyzing and escalating potential regulatory risks. They work closely with experienced staff and develop the capacity to conduct high quality routine surveillance with minimal supervision. They also work with Legal, Compliance and other stakeholders to identify business changes, and regulatory developments that warrant updating existing or developing new surveillance patterns to ensure the firm has comprehensive coverage.

Primary Responsibilities:

• Responsible for the timely analysis of alerts leading to the detection and prevention of potential misconduct.

• Identify potential concerns and escalate to stakeholders; quickly highlight abnormal and/or aberrant activity to surveillance senior management.

• Perform ad-hoc reviews of complex trading scenarios, identifying high risk behaviors, and applying judgement to resolve issues in an efficient manner.

• Draft high quality review summaries and present findings to relevant stakeholders.

• Contribute to design and development of models to enhance surveillance coverage, including but not limited to various forms of conduct risk, compliance policies, and market disruption.

Qualifications:

•The successful candidate should have industry experience, ideally in Financial Services Compliance, Financial Services Regulation, or similar experience, with strong product knowledge and an understanding of market fundamentals.

• Knowledge of regulatory frameworks including an understanding of relevant federal securities laws, rules, and regulations is a plus (e.g., CFTC, FCA, CSRC).

• Proven experience working in a rapidly changing and complex work environment.

• Strong communication skills, both written and verbal.

• Demonstrated high level of initiative, and impeccable integrity.

• Working knowledge of Python and / or SQL preferred.

• Education: Degree in STEM field preferred.