TRAINEE: Trade Surveillance

Job description

Assist in real-time monitoring of trading transactions to identify potential market abuse or suspicious activities, ensuring timely intervention. Conduct preliminary investigations into flagged trades and communications, documenting findings and preparing reports for different stakeholders, namely global trade surveillance, local compliance, and senior management. Utilize trade surveillance tools to analyze trading patterns, identifying potential instances of insider dealing, ramping, wash trading, and spoofing.

Collaborate with senior compliance officers to address identified issues and participate in team discussions to analyze and interpret surveillance findings. Maintain accurate and detailed records of surveillance activities and investigations in accordance with internal policies and regulatory requirements. Provide appropriate proposals for the design and enhancement of CMS monitoring processes and surveillance controls.

Support the management and delivery of daily/weekly/monthly/quarterly reports on trading activity, remediation, compliance metrics, and surveillance findings. Assist in data management and reconciliation processes related to trade surveillance. Take ownership of reporting and monitoring tools, ensuring timely delivery of trade surveillance metrics and insights. Engage in transversal projects with various stakeholders to enhance information sharing and teamwork across the business unit and region.