37 trade surveillance analyst jobs found

Trade Surveillance Analyst Your Responsibilities: Conduct trade surveillance and monitor transactions on EEA markets, including OTC and any product(s) that IBIE offers, for potential insider dealing or market manipulation Ensure appropriate and timely alert management, following standards for closure or escalation Document surveillance reviews, investigations, and other activities following guidelines Assist with the ongoing design, development and calibration of reports and systems to help identify suspicious transactions. Prepare STORs for submission to CBI. Assist with written responses to inquiries from the CBI, other European regulators or exchanges regarding trading activity by IBIE customers Liaise with global colleagues to ensure all impacted legal entities are informed of suspicious activity and work closely with the AML team. Your Qualifications:  Background in client trading surveillance preferred Strong...

Interactive Brokers is looking to hire a Compliance Analyst in our Trade Surveillance team at the Chicago Office. This is a position with excellent growth potential for highly motivated and exceptional performers with the possibility to turn to a permanent role. 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...

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: Reference Data & Analytics is part of the Benchmarks & Indices Operations. The Reference Data & Analytics 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 fields based on data standardization from raw data. For our team based in Fort Mill, we are currently recruiting for an 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 and who can work under strict delivery timelines. Besides data management you are expected to become a subject matter expert on...

Senior Analyst – Market Management - Market Operations Services Role Profile Department Description The Market Operations Services team in London provides the centralised function for the maintenance of key trading services and reference data databases. The team spans both the LSE (Equities, Fixed Income and Derivatives) and Turquoise venues (part of the London Stock Exchange Group) acting as a first point of contact for customers (both issuers and member firms). The team co-ordinates the production and dissemination of communications to customers and key organisations including EUI, CCPs, UKLA and FTSE Russell. Market Operations comprises of five functions – Admissions, Market Management, Equities Operations, Operational Support and UAT – and manages close operational relationships, internally and externally. Team Description The Market Management team is responsible for the enrichment and migration of data to the trading platform in order to facilitate trading across both the...

Role Profile Market Supervision forms part of the Market Regulation department which is responsible for regulating all the markets operated by LSEG. Market Supervision is responsible for monitoring secondary market trading on London Stock Exchange (“LSE”), Turquoise Global Holdings Limited (“TGHL”) and Turquoise Global Holdings Europe B.V (“TGHE”). Additionally, post trade surveillance is carried out for FXall, Matching and other Refinitiv trading venues. Market Supervision is currently divided into five sub-teams which monitor activity on our markets on both a real time and post trade basis and enhance our surveillance systems to do so. The purpose of Market Supervision is to ensure that trading is orderly and efficient across all markets, and in compliance with LSE, TGHL and TGHE rules, and to identify activity which may indicate market abuse as outlined in the UK Financial Conduct Authority’s Code of Market Conduct and Market Abuse Regulation. This role is based in...

The Market Supervision team also carry out a series of market operational tasks such as assistance to members on compliance-related matters, order handling, error trade management, price adjustments of equity cash and derivatives instruments and indices subsequent to corporate actions (i.e. adjustment coefficients calculation, evaluation of ex-rights, warrants and convertible bonds issues, support to issuers and other BIt teams), fair price valuation for newly listed securities, calculation of settlement prices of derivatives contracts, second-level control of primary index, co-operation with and assistance to other business units to product development. In the context of the migration of the Borsa Italiana Markets to the new Euronext Optiq trading Platform, Borsa Italiana Markets Supervision is looking for a Trading Surveillance Analyst.   Workplace : the position is based in Milan (on-site) Period : this is a fixed-term contract   The Trading...

Missions Being part of our 1st line of defense (EMS), our trainee should deliver the following : - Managing alerts via our SMARTS ALMAS system (unexpected trading behaviors, instrument reservation...). - Conducting all mandatory checks to secure a fair and orderly market. - Ensuring Market Surveillance tasks are fully compliant with MIFID 2. - Being a solid and reliable point of contact for any operational request received (members/ISV/ASP...). - Working very closely with our 2nd line of Defense (Compliance) while investigating suspicious behavior/activities. - Helping for improvement & optimization of our processes and activities in order to improve our quality of service and secure client centricity. Education & Knowledge - Master’s level student in finance or engineering or Grandes Ecoles (management or engineering). - Finance majors are most suitable, though other majors are welcome to candidate. Experience - A first experience in finance...

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 Nasdaq Trade Surveillance...

Associate - Structured Finance - CLO The Team: S&P Global is seeking an experienced analyst to join its Structured Finance Ratings group as an Associate in the Structured Credit practice. The practice provides credit ratings of structured products that are backed by pools of assets, mainly focused on Collateralized Loan Obligation (CLO) transactions. What's in it for you: The Associate will be an integral part of the analytical team, which is responsible for cash flow modeling and transaction document analysis in support of new issue ratings and surveillance of CLO transactions. The Associate Director will review documents as it pertains to our CLO criteria and conduct cash flow analyses to stress test the structures and enhancement levels under various economic scenarios. The Associate Director will also participate in credit rating committees and interact with bankers, issuers, and investors on analytical matters. What the Hiring Manager Says: The...

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...

S&P Global Ratings - Non-Bank Financial Institutions (NBFI) – Associate - Milan or Paris Position Summary: As Associate, you will assume primary analytic oversight responsibility for a portfolio of non-bank financial institutions across Europe. You will cover asset managers, distressed debt purchasers, leasing companies and investment funds. You will also have an opportunity to get exposure to banks in due course. You will have the opportunity to establish yourself as an industry expert by covering a diverse portfolio of complex credits, interacting with NBFI’s top management, and largest global investors. Finally, you will also be able to deepen your expertise in ESG and tech disruption topics that have become a key focus for NBFI credit analysis. Key Accountabilities/Responsibilities: Issuers: You will be the first and most important contact with the issuer handling the day-to-day analytical relationship. You will lead the meetings with companies’ top...

Data Integration Development Lead     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:   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...

The Role: As a Financial Research Analyst - Investor Relations, you will have the opportunity to help drive the growth of a leading Investor Relations surveillance services provider and make an immediate impact on the business and our corporate clients. Are you an enthusiastic and collaborative team member? Do you enjoy learning and discussing various aspects of the financial markets in a supportive team environment?  The Team: You will be working within our Investor Relations division focused on our Surveillance and Targeting offerings. The team is located across the globe with offices in New York, Raleigh (North Carolina), Cape Town, Hong Kong, London, Toronto and Buenos Aires.   The Surveillance and Targeting division is broken down into ten sector teams that cover the North American market and two regional teams in APAC and EMEA.  Each team is headed up by at least one Director that has over 10 years of financial industry experience with team members of all...

End Date Wednesday 07 June 2023 Salary Range £93,160 - £116,450 We support agile working – click here for more information on agile working options. Agile Working Options Other Agile Working Arrangements / Open to Discussion Job Description Summary An excellent Senior Risk Manager opportunity has arisen for a highly motivated applicant to join the Chief Operating & Risk Science Office – Market and Liquidity Risk team within Lloyds Banking Group. This is an exciting opportunity to be part of a dynamic team in a changing and complicated environment, which offers considerable scope for personal development. In this rare and impactful role, you’ll be joining the Pricing Model Validation team within the Methodology and Models team which covers the pricing, counterparty credit, and market risk measurement modelling for Lloyds Banking Group. Job Description At Lloyds Banking Group, we have a clear purpose; to help Britain prosper and to become the best...

S&P Global Ratings Student Worker The Team: Student Worker is an Individual Contributor, although the candidate should be a team player. Capable of build strong relationship with the team. The Impact: Under direct supervision, gathers and maintains information using established procedures and documented checklists. Has a basic business background and is in the process of developing basic analytical abilities. Most work is transactional. Prepares material for BRC S&P publication and participates in ad hoc projects. What’s in it for you: Under direct supervision, gathers and maintains information using established procedures and documented checklists. Under direct management, analyzes routine and some non-routine analytical or business problems as directed; develops own industry knowledge; identifies industry risk factors. Responsibilities: Supports analysts in assigned deals within a portfolio that are typically simple in nature including...

The Role: Research Assistant, Media & Telecom The Team / The Business: When you join S&P Global Ratings, you join one of the world's leading providers of independent credit risk research and benchmarks. You are part of a team that produces high quality fundamental research based on established criteria, you have the opportunity to participate in meetings with senior corporate executives and investors.  What we are looking for: As a Research Assistant, you are working as part of a sector team within the Corporate Ratings group.  Under the guidance of senior analysts, a qualified Research Assistant typically supports the sector team on its ongoing surveillance of a portfolio of rated corporate issuers and performs basic fundamental credit analysis, forecasting, and industry analysis.  With experience, a high performing Research Assistant will provide support on more complex issuers and transactions, as well as provide input to financial models and written...

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 the 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...

S&P Global Ratings Research Assistant - Financial Services, Tel Aviv We are looking for a highly skilled individual to join our Financial Services (Financial Institutions and Insurance ratings) team in Tel Aviv.   The Role:   ·          Analytical excellence: You will support a highly skilled analytical team authoring impactful research and performing rating analysis on a complex and diversified portfolio of both banks and non banks financial entities in Israel. ·          Surveillance: Joining and preparing review meetings for all entities assigned in line with our surveillance standards will be part of the role. You will contribute to portfolio reviews as part of your assignment. ·          Publications: Helping to publish high quality and forward-looking full rating reports and rating rationale summaries will be your priority. In addition, you will support keeping bank industry country risk assessment (BICRA)...

S&P Global Ratings   Associate Director – EMEA Telecom, Media & Technology Ratings - London   The Team: S&P Global Ratings' EMEA Telecom, Media & Technology (TMT) team covers TMT issuers across EMEA. The team comprises of analysts spread across four European offices. In this position you will make an important contribution to our essential role for credit markets, and you will do so as member of a team with a strong culture of collaboration and analytical excellence.   The Impact: At S&P Global Ratings, your analytical opinion truly matters and each person who works here has an essential role in S&P Global Ratings reputation of integrity, transparency, and ratings excellence. S&P Global Ratings plays a vital role in bringing transparency and comparability to the financial markets and helps investors and others measure and manage credit risk. By supporting capital markets, S&P Global Ratings helps...

The Role: Research Assistant, US Corporate Ratings – Transportation, Autos, Aerospace & Defense The Team / The Business: When you join S&P Global Ratings, you join one of the world's leading providers of independent credit risk research and benchmarks. You are part of a team that produces high quality fundamental research based on established criteria, you have the opportunity to participate in meetings with senior corporate executives and investors.  What we are looking for: As a Research Assistant, you are working as part of a sector team within the Corporate Ratings group.  Under the guidance of senior analysts, a qualified Research Assistant typically supports the sector team on its ongoing surveillance of a portfolio of rated corporate issuers and performs basic fundamental credit analysis, forecasting, and industry analysis.  With experience, a high performing Research Assistant will provide support on more complex issuers and transactions, as well as...

The Role: Compliance Officer Grade (relevant for internal applicants only): Grade 9 The Location: Pune The Team: The Compliance team in primarily based in Mumbai and has compliance related responsibilities for S&P Global Ratings team (& affiliates/vendors) in India. The Impact: Overseeing compliance adherence for Ratings India Businesses. This role has great regulatory focus and may involve dealing with regulators across the globe. What’s in it for you: This role gives many opportunities to demonstrate and hone leadership and managerial skills.   As a critical member of the team, you will have the opportunity to collaborate with a global team of compliance officers who are experts in their domain. Responsibilities: Advising employees at Ratings India (Pune, Mumbai, Hyderabad and Gurgaon) on S&P’s compliance policies and sharing with them a global perspective on the same. Enhancing the scope and sophistication of the compliance...

The Role: As a Financial Research Analyst - Investor Relations, you will have the opportunity to help drive the growth of a leading Investor Relations surveillance services provider and make an immediate impact on the business and our corporate clients. Are you an enthusiastic and collaborative team member? Do you enjoy learning and discussing various aspects of the financial markets in a supportive team environment?  The Team: You will be working within our Investor Relations division focused on our Surveillance and Targeting offerings. The team is located across the globe with offices in New York, Raleigh (North Carolina), Cape Town, Hong Kong, London, Toronto and Buenos Aires.   The Surveillance and Targeting division is broken down into ten sector teams that cover the North American market and two regional teams in APAC and EMEA.  Each team is headed up by at least one Director that has over 10 years of financial industry experience with team members of all...

S&P Global Ratings Rating Analyst or Associate, EMEA Utilities The Team: S&P Global Ratings is seeking a candidate to join its Global Infrastructure Finance team in London as a Rating Analyst or Associate. The EMEA Utilities Team comprises 16 analysts across several offices in Europe and this is an exciting opportunity for an enthusiastic candidate with strong analytical capabilities to work as part of an international team. What’s in it for you: You will join the market leading ratings franchise in a practice of pivotal strategic importance to the group at a time where Global Infrastructure investments are on the rise and when energy transition and ESG considerations are transforming the Utilities sector. You will gain an understanding of S&P Global rating methodology, policies and procedures as well as knowledge of qualitative aspects of Infrastructure Ratings analysis. The successful candidate will be supported with on the job and formal training,...