Investment Banking
Posted 11 days ago
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**TRAINEE Trade Surveillance Specialist** responsibilities involve real-time monitoring to detect market abuse, preliminary investigations, and report preparation. Utilize tools to analyze trading patterns, collaborate with senior officers, maintain records, and enhance CMS processes. Support reporting, manage tools, and engage in cross-functional projects. Key skills required: data analysis, investigative skills, proficient in trade surveillance tools. Fresh graduates encouraged to apply.
- Compensation
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Currency: Not specified
Full Job Description
Responsibilities
- 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.
