Business Analyst â Trade Surveillance
Business Analyst â Trade Surveillance
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Job Description
Location: Charlotte NC (onsite)
Duration: 12 months.
Type: W2 Contract
You will act as the liaison between Compliance Trading Desks and IT teams to optimize surveillance systems detect market manipulation and reduce false positives in alert generation
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Requirement Analysis:
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Gather and document business requirements for trade surveillance systems (e.g. Nasdaq SMARTS Actimize Bloomberg SURF).
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Define rulesets for detecting insider trading spoofing wash trades and other market abuse patterns.
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System Optimization:
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Reduce false positives by refining surveillance algorithms and thresholds.
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Collaborate with quants/data scientists to improve machine learning models for anomaly detection.
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Stakeholder Collaboration:
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Work with Compliance Officers to align surveillance workflows with SEC Rule 15c3-5 MAR (Market Abuse Regulation) and MiFID II.
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Partner with IT to implement enhancements in real-time monitoring and post-trade analytics.
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Data & Reporting:
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Analyze trade/communication data (voice chat emails) for suspicious activity.
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Develop dashboards (Power BI Tableau) for surveillance metrics and regulatory reporting.
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9 years as a Business Analyst in Trade Surveillance Compliance Capital Markets Technology.
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Deep understanding of equity/derivative trading behaviors and market abuse typologies.
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Hands-on experience with surveillance tools (SMARTS Actimize Eventus or similar).
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Proficiency in SQL Excel and data analysis (e.g. parsing FIX messages trade logs).
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Knowledge of global regulations (FINRA SEC MAR CFTC).
Preferred:
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Familiarity with Python/R for data analysis (Pandas regex for communication surveillance).
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Exposure to cloud-based surveillance solutions (AWS Azure).
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Certifications like CAMS CFA or Series 7/24.
Employment Type
Full Time
