Senior Surveillance Associate - Market Abuse

3 нед. назад

USASeniorOnsite

trade surveillancecommunication surveillancecompliance risk assessment

Conduct trade and communication surveillance to identify compliance risks and potential violations of securities laws and firm policies.

Обязанности

Conduct routine trade surveillance and investigations
Conduct routine communication surveillance for potential violations of relevant securities laws, rules, regulations, and firm policies, escalating suspicious or non-compliant events
Partner with technology and compliance stakeholders to calibrate alert parameters and thresholds, and conduct data quality and completeness reviews across the market abuse surveillance program
Craft intelligence questions and appropriately scope research to produce sophisticated and well-written analysis that provides insight and risk analysis
Use tools and methodologies such as structured analytic techniques to improve analysis, check assumptions, and identify signposts or indicators of change
Work with managers to respond to information requests from financial regulators and ad-hoc taskings from members of the senior management team
Serve as a subject matter expert in your assigned coverage and stay abreast of relevant regulations, industry best practices, and internal policies
Leverage resources, technology, and information to minimize risk and protect the firm

Другое

Senior Surveillance Associate - Market Abuse
 
A Career with 's Surveillance Team
’s Surveillance team sets the industry standard for intelligence driven surveillance by proactively identifying, monitoring, and assessing various sources of compliance risk using proprietary tools and specialized tradecraft. We support senior management by providing strategic assessments, actionable recommendations, and real-time escalations. At , members of the Surveillance team conduct integrated trade and communication surveillance and collaborate to turn information into intelligence for our internal customers. The team also monitors employee activity for evidence of violations of applicable federal securities laws, internal compliance policies and procedures, and relevant rules and regulations enforced by the SEC, FINRA, and other organizations.
Bachelor’s degree from an accredited institution
3–5 years of trade surveillance experience at a buy-side firm, broker-dealer, exchange, or regulator, with a focus on market abuse
Demonstrated experience identifying and investigating potential market abuse and manipulation behavior across multiple asset classes, with familiarity of applicable regulatory frameworks
Experience analyzing large and complex trading datasets, including proficiency in SQL and Python
Strong analytical and problem-solving skills with excellent attention to detail
Proven effectiveness in written and verbal communication
Ability to exercise sound judgment and observe the highest degree of confidentiality and discretion when handling highly sensitive information
Ability to adapt to changing priorities to meet business needs
Commitment to the highest ethical standards
We invest in our people, their careers, their health, and their well-being. When you work here, we provide:
Fully-paid health care benefits
Generous parental and family leave policies
Volunteer opportunities
Support for employee-led affinity groups representing women, people of color and the LGBT+ community
Mental and physical wellness programs
Tuition assistance
A 401(k) savings program with an employer match and more
is a leading global alternative investment firm led by Steven A. Cohen. Building on more than 30 years of investing experience, seeks to deliver superior returns for its investors through fundamental and systematic investing strategies across asset classes and geographies. We aim to attract and retain the industry's brightest talent by cultivating an investor-led culture and committing to our people's long-term growth. For more information, visit.