Overview
Market Surveillance – Fixed Income Product – AM/AVP
Accountabilities:
– Monitoring market activities continuously, including order flows, prices, trading volumes and communications to identify potential irregularities or market misconduct.
– Conducting in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct.
– Business support in projects related to the firms market surveillance framework.
– Regulatory query and internal/external audit support.
– Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends.
– Execution of appropriate controls aligned to the control framework and related firm-wide standards.
– Control environment support in relation to data quality, model effectiveness and efficiency.
To be successful as a Market Surveillance Specialist, you should have experience with :
– Stakeholder Management.
– Decision Making & Problem Solving.
– Strong Communication Skills.
Essential Skills :
– Good Analytical Experience.
– Good Understanding in Surveillance.
– Strong understanding of Fixed Income/Trade Surveillance.
Desired Skills :
– Conducting daily analysis of automated trade and communications surveillance alerts for global businesses.
– Identify and escalate potential breaches of regulatory rules and policies.
– Active involvement in enhancing current alerts and exception reports and supporting the development of new surveillance tools, reports and procedures.
– Provide feedback on the efficiency and effectiveness of surveillance controls to Surveillance Management.
– Communicate market abuse risk identified through the surveillance platform with Surveillance Management and agree clear paths to resolution.
– Engage with the Global Surveillance team to share knowledge and practices and promote a consistent approach across the surveillance teams.
– Engage with the Global Surveillance team to share knowledge and practices and promote a consistent approach across the surveillance teams