18 trade surveillance analyst jobs found

Interactive Brokers is looking to hire a Compliance Analyst at the Chicago Office. This is a position with excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Compliance Manager and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Day-to-day responsibilities include: Conducting reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if activity is in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends.  Preparing regulatory filings Contribute to streamlining current processes and identifying areas for improvement Review trading data for suspicious activity or patterns of unusual trading The ideal candidate will have 2-5 years regulatory compliance experience working for an...

Job Description & Responsibilities Conduct trade surveillance and transaction monitoring for APAC markets, including monitoring OTC products and other products that Interactive Brokers Ireland Limited offers for potential insider dealing or market manipulation. Review trading data for suspicious activity or patterns of unusual trading. Ensure appropriate and timely alert management, following standards for closure or escalation. Document surveillance reviews, investigations, and other activities in accordance with guidelines. Assist with the ongoing design, development and calibration of reports and systems that help identify suspicious transactions. Prepare Suspicious Transaction and Order Reports (STORs) for submission. Assist with written responses to inquiries from regulators or exchanges regarding trading activity by IBKR customers. Coordinate with global colleagues to ensure all impacted legal entities are informed of suspicious activity and work...

Interactive Brokers is looking to hire a full-time Quality Assurance Compliance Analyst at the Chicago office. This is a position with excellent growth potential for highly motivated and exceptional performers. Analysts will report to a Quality Assurance Compliance Manager in our Chicago office and will assist with ensuring the firm complies with Bank Secrecy Act, USA PATRIOT Act, anti-terrorist financing, sanctions, industry AML, and securities laws and regulations. Responsibilities Conducting quality assurance reviews of account activity, including trading activity, deposit and withdrawal activity, and public domain activity, to determine if activity is in line with IBKR policy Advising management by collecting, analyzing, and summarizing data and trends. Conduce quality assurance on regulatory filings Contribute to streamlining current processes and identifying areas for improvement Review trading...

Our Global Technology Nasdaq Trade Surveillance powers surveillance and compliance for over 40 market places, 11 regulators and 100 market participants across 65 markets globally. Scalable to millions of transactions and flexible to manage a number of unique data sources, NTS holistically examines scenarios across multiple venues and asset classes. We are currently seeking a motivated and passionate individual to join our NTS Service Delivery Team as a Business Analyst . The successful candidate will work directly with our clients to ensure they receive the quality service Nasdaq aim to deliver. You will be the primary contact point between the customer and first level support for all functional business issues as part of a distributed team of 6 Business Analysts based in London and 3 Business Analysts based in Vilnius. You will be part of a global Team of 25 Business Analysts. A large part of this role is taking ownership of customer functional requests and issues,...

Role Profile   Job Description:     Reference Data & Analytics is part of the Informational Services Division (ISD). The Reference Data & Analytics t eam is a client focused, technology enabled team, producing High value & unique analytics & data derivations to drive insight and value to our internal and external stakeholders. Reference Data & Analytics is responsible for creating LSEG Intellectual Property by generating ICB Classifications, Free Float and similar data fie lds based on data standardization from raw data.      For our team based in Fort Mill   we are currently recruiting for a n Analyst Position in our Reference Data & Analytics Team.  Analysts manage a wide range of data &  information on a universe of companies , and for ensuring quality and accuracy in all our products .      We are looking for individuals with very high attention to detail...

Role description   The Equity Operations Senior Analyst role is predominantly responsible for pre and post trade operational support and is a high risk, market impacting front line role which is integral to the day to day running of the LSE and Turquoise Equities Markets. It can involve stock suspensions, trading cycle interventions, order deletes and real time market surveillance monitoring. The role also offers areas of project management responsibilities which involves working on continuous change through several high-profile projects and change requests.  These projects will run simultaneously alongside BAU to improve resiliency and efficiency as well as including high profile trading system releases. Key Responsibilities Responsible for monitoring and managing real time support of reference data and market activities across LSE and Turquoise Equities Markets Act as first line operational support for clients for all queries/issue/disputes Undertake Market...

Job Description Position Summary: The Surveillance Analyst role will include real-time and pattern based surveillance of the Cboe option markets to detect possible violations of Cboe and SEC rules and policies. The position can be based in either Chicago, IL or Lenexa, KS. Duties and Responsibilities:  Performs a combination of the following duties according to Department and Division guidelines: Conduct real-time surveillance and analysis of option securities traded on the Cboe Exchanges to detect possible violations of Cboe and SEC rules and policies. Conduct real-time monitoring of Cboe trading systems to ensure compliance with Cboe rules.  Collaborate with various Cboe teams to further enhance the Regulatory Program. Assist in responding to inquiries from the SEC and other regulatory bodies. Assist in the maintenance of internal policies and procedures related to the Cboe Surveillance Program.  Stay apprised of industry concepts and events while...

S&P Global Ratings Associate, Infrastructure Ratings The Role The EMEA Practice has an Associate opening in the Infrastructure team. The successful candidate will be based in Tel Aviv, Israel and the main responsibility will be leading the analysis on complex transactions in Israel with a strong focus on corporate and project finance. In addition, the position will participate from committees determining and monitoring credit ratings mainly in the Middle East, Europe and Africa. You will establish yourself as an analyst with focus on excellence in analytics and client service. The role requires also to act as a process role model, setting measurable targets, setting priorities, problem solving and helping to improve and enhance rating’s process and procedures.   The Impact At S&P Global Ratings, your analytical opinion truly matters and each person who works here has an essential role in our reputation of integrity, transparency, and ratings...

Senior HANA / ETL Developer     Role Profile   IDPS (Index Data Processing Platform ) is a program whose main purpose is to drive improvements across data collection, data management and data governance resulting in improved efficiencies, robustness, and the ability for our business to use our data as an asset by driving both cost savings and revenue opportunities .   Some of the outcomes and benefits of this program include:   Provide s a single, centralized version of the truth/data including standardized logical and physical data model    Data capabilities to build world class multi-asset indices and data & analytics services    Universal data quality profiling and checks as well as Data Policies and Governance   A platform for data discovery, management and cataloguing    Ability to on-board and integrate new business acquisitions more efficiently    Improve...

S&P Global Ratings Associate Director, Insurance Ratings The Role: As an Associate Director, you will analyze insurance companies mainly in Africa and perhaps other locations across EMEA, when needed. This position involves meeting with issuers and investors on analytical matters, assisting in resolving client needs, participating in market education efforts, and taking the lead at external meetings related to credits.  The Impact: You will provide key stakeholders with impactful insights and enable investors to make decisions with conviction. You will also be able to empower our junior analysts and role model key leadership behaviours to empower and inspire them.   Your Skills: You will have a good understanding of insurance markets, business environments and relevant regulations particularly in South Africa. Prior credit analyses experience covering the non-life, life insurance and reinsurance sectors will be a distinct advantage. An ability to...

Data Modeler Role Profile The Index Data Processing Platform (IDPS) is a program whose main purpose is to drive improvements across data collection, data management and data governance resulting in improved efficiencies, robustness, and the ability for our business to use our data as an asset by driving both cost savings and revenue opportunities. Some of the outcomes and benefits of this program include: Provides a single, centralized version of the truth/data including standardized logical and physical data model Data capabilities to build world class multi-asset indices and data & analytics services Universal data quality profiling and checks as well as Data Policies and Governance A platform for data discovery, management and cataloguing Ability to on-board and integrate new business acquisitions more efficiently Improve operational efficiency through automation A customized bi-directional packaging and delivery capability Role Description: We are looking to fill a...

Data Modeler Role Profile The Index Data Processing Platform (IDPS) is a program whose main purpose is to drive improvements across data collection, data management and data governance resulting in improved efficiencies, robustness, and the ability for our business to use our data as an asset by driving both cost savings and revenue opportunities. Some of the outcomes and benefits of this program include: Provides a single, centralized version of the truth/data including standardized logical and physical data model Data capabilities to build world class multi-asset indices and data & analytics services Universal data quality profiling and checks as well as Data Policies and Governance A platform for data discovery, management and cataloguing Ability to on-board and integrate new business acquisitions more efficiently Improve operational efficiency through automation A customized bi-directional packaging and delivery capability Role Description: We are looking to fill a...

Binance is the global blockchain company behind the world’s largest digital asset exchange by trading volume and users, serving a greater mission to accelerate cryptocurrency adoption and increase the freedom of money. Are you looking to be a part of the most influential company in the blockchain industry and contribute to the crypto-currency revolution that is changing the world? We are looking for a Market Surveillance Global Lead that will build and implement new surveillance capabilities for Binance globally. This person will drive the design of the surveillance infrastructure, and will be responsible for leading and managing the professional development of the team responsible conducting market surveillance of digital asset trading activities.   Responsibilities Contribute to the development and evolution of the Market Surveillance department and execute the surveillance monitoring plan, including the continued monitoring and enhancement of surveillance to...

Why Nasdaq When you work at Nasdaq, you’re working for more open and transparent markets so that more people can access opportunities. Connections can be made, jobs can be created, and communities can thrive. We want all our employees to have access to opportunity, too. That means planning for career growth, ensuring you have the tools you need, and promoting an inclusive culture where we’re all valued for our unique perspective. Here, you will work for a global tech leader committed to breaking down barriers to inclusive prosperity. We see technology as a means to free people up to work together more productively and effectively by centralizing data, analytics, and market intelligence. Here, we’re committed to building a more diverse and inclusive workforce. Not only is it our responsibility to do better, but we also need representative voices to power the fresh thinking that is vital for our business and our clients. What We Offer As part of Nasdaq’s growing...

The Role: Associate – Structured Finance Ratings – ABS   The Team: S&P Global Ratings is seeking an experienced analyst to join its Structured Finance Ratings practice which provides credit ratings and opinions for securitizations backed by a wide variety of ABS assets.  In this role, the Associate will be responsible for end-to-end rating process, research, cash flow, credit, and structural analytics, and client-facing activities for new issue ratings and surveillance of ABS transactions backed by consumer and commercial assets.   The Impact: . This role blends research and quantitative and qualitative analytical skills, client-facing interactions, and project management. Daily tasks include completing the end-to-end ratings process, reviewing documents, assessing the credit profile of collateral pools, and conducting cash flow analyses to determine the credit rating impact of stress tests to the structures and enhancement levels under various economic...

The Role: Research Assistant - Sovereign and International Public Finance – Paris The Team: The Sov/IPF team is based in Madrid, Milan and Paris and covers more than 100 ratings across Western and Southern Europe and Western Africa and performs additional analysis on unrated entities (typically, credit estimates) on local governments in the area. Three Lead Analysts oversee the analytical work of pods of about 30-35 ratings and work hand-in-hand with the regional and global Sovereign and International Public Finance Sector Leads on ensuring analytical consistency across the ratings.   The team produces high-quality research and investor presentations and selectively responds to media enquiries on rated sectors and issuers.  Analysts in the pod, including the Research Assistant and Lead Analyst, report to the Analytical Manager.  Rating surveillance (including committees) involve day-to-day interactions with analysts across the EMEA region.   Most issuer...

S&P Global Ratings Associate Credit Analyst – Business and Consumer Services The Role:   We are looking for a credit analyst to join our team to be based in our London office. Manage and maintain surveillance on a rating portfolio of about 15 credits in the Business and Consumer Services sector. Perform credit analysis and identify key factors that affect issue and issuer credit ratings, through the application of the relevant S&P Global Corporate Ratings methodology. Lead new transaction and issuer ratings analysis and deliver outcomes in a timely, orderly and insightful manner. Develop and maintain an understanding of industry trends and issues. Take responsibility for a portfolio of ratings as a primary analyst. Act as backup analyst as required, attending meetings in support of colleagues, providing cover for colleagues who are temporarily unavailable due to holidays or business travel. Actively participate in rating committees. Attend...

Team and Role Overview UnaVista is the London Stock Exchange's regulatory reporting, matching and reconciliation solution provider.  UnaVista customers include investment banks, hedge funds, brokers, and other financial services firms. UnaVista provides business solutions in the areas of: Regulatory reporting with MiFIR, EMIR, G20 and other regimes Provision of reference data (especially financial instruments data) Reconciliations (cash/stock, front-back office, exchange recs, etc.) and Operational post-trade services in the fields of: confirmations communication and matching for multiple asset classes, communication of orders, hedges and give-ups for equity swaps and other derivatives Analytics and surveillance of the data above This product owner role will be required to support an existing UnaVista team - the G20 scrum team, which is made up of a scrum master, Developers, QA specialists and is supported by other UnaVista functions such as the...