TRADE SURVEILLANCE
TRADE SURVEILLANCE
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Job Description
The Company
Our client is a leading global financial institution with a strong presence in investment banking markets and financial services. With a commitment to innovation regulatory excellence and risk management the firm operates at the forefront of financial markets ensuring integrity and compliance in a rapidly evolving landscape.
The Team
The Trade Surveillance team plays a critical role in upholding market integrity by monitoring trading activities detecting potential market abuse and ensuring compliance with regulatory standards. The team is responsible for managing and investigating alerts generated by sophisticated trade surveillance systems working closely with internal stakeholders to mitigate risks and uphold best practices.
The Role
We are looking for 5 professionals to join the Trade Surveillance team on a contract basis (3 to 6 months) with a high potential for permanent conversion. The initial contract will be a secondment through a consulting firm offering a strong compensation package and insurance benefits.
Key Responsibilities
- Level 1 Alert Management (3 to 5 headcounts Based in HK or India)
- Monitor and review alerts generated by the trade surveillance system.
- Conduct preliminary investigations into potential market abuse or irregular trading activities.
- Escalate suspicious activities to Level 2 investigators.
- Level 2 Alert Management (2 to 3 headcounts Based in HK)
- Perform indepth investigations on escalated trade surveillance alerts.
- Analyze trading patterns and order flows to identify potential market misconduct.
- Provide recommendations for mitigation measures and compliance improvements.
The Requirements
- Prior experience in trade surveillance specifically in alert investigation and management.
- Familiarity with market integrity and market abuse regulations (not AML).
- Strong knowledge of SMARTS Broker or similar trade surveillance systems.
- Ability to assess trading behavior detect anomalies and escalate concerns effectively.
- Excellent analytical skills and attention to detail.
- Strong communication skills and ability to work in a fastpaced regulatorydriven environment.
The Contact
Interested candidates are encouraged to apply by reaching out with their updated CV or send your cv to
Employment Type
Full Time
