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Trade Surveillance Business Analyst

IMR Soft LLC
Charlotte, NC Full Time
POSTED ON 1/7/2025 CLOSED ON 1/23/2025

What are the responsibilities and job description for the Trade Surveillance Business Analyst position at IMR Soft LLC?

Job Details

Role: Trade Surveillance Business Analyst

Location: Charlotte, NC (Onsite from day one)

Duration: 12 months plus

Job Summary:

We are seeking a highly motivated and detail-oriented Trade Surveillance Business Analyst to join our Compliance team. The ideal candidate will play a critical role in monitoring trading activities, ensuring compliance with regulatory requirements, and enhancing our trade surveillance systems. The Trade Surveillance BA will work closely with stakeholders across various departments to analyze data, identify potential risks, and implement effective surveillance strategies.

Key Responsibilities:

  • Trade Surveillance Monitoring:
    • Conduct daily surveillance of trading activities to identify potential market abuse, insider trading, and other irregularities.
    • Utilize trade surveillance systems to analyze trading patterns and generate alerts for further investigation.
  • Data Analysis:
    • Analyze large datasets to identify trends, anomalies, and patterns related to trading activities.
    • Collaborate with the IT team to enhance data extraction and reporting capabilities.
  • Regulatory Compliance:
    • Keep abreast of regulatory changes and industry best practices related to trade surveillance and compliance.
    • Assist in the development and implementation of policies and procedures to ensure compliance with applicable regulations.
  • Stakeholder Collaboration:
    • Work closely with trading desks, compliance officers, and risk management teams to understand trading strategies and identify potential risks.
    • Facilitate communication between technical teams and business stakeholders to ensure system requirements are met.
  • Reporting and Documentation:
    • Prepare detailed reports on surveillance findings and present them to senior management and relevant stakeholders.
    • Maintain comprehensive documentation of surveillance processes, findings, and actions taken.
  • Project Management:
    • Participate in projects aimed at improving trade surveillance processes and systems.
    • Assist in the testing and implementation of new surveillance tools and technologies.

Qualifications:

  • Education:
    • Bachelor's degree in Finance, Business Administration, Computer Science, or a related field. A Master's degree or relevant certification (e.g., CFA, CISA) is a plus.
  • Experience:
    • 5 years of experience in trade surveillance, compliance, or risk management within the financial services industry.
    • Familiarity with trade surveillance systems and tools (e.g., Actimize, NICE, or similar).
  • Skills:
    • Strong analytical and problem-solving skills, with a keen attention to detail.
    • Proficiency in data analysis tools (e.g., Excel, SQL, Python) and visualization software (e.g., Tableau).
Excellent communication and interpersonal skills, with the ability to work effectively in a team environment
Employers have access to artificial intelligence language tools (“AI”) that help generate and enhance job descriptions and AI may have been used to create this description. The position description has been reviewed for accuracy and Dice believes it to correctly reflect the job opportunity.
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