Qualifications
Key ResponsibilitiesExamine and investigate daily trade surveillance alerts across multiple asset classes including equities, fixed income, FX, and derivatives.Analyze trading patterns to detect potential insider trading, market manipulation, wash trades, layering, spoofing, and other forms of market abuse.Conduct thorough research, including news checks and historical behavior analysis.Draft clear, concise rationales ready for regulatory review for each alert.Raise any potentially suspicious activity to the Investigations or Compliance Advisory teams.Achieve daily and weekly throughput targets while ensuring high standards of accuracy and quality control.Propose enhancements to alert calibration, thresholds, and surveillance processes as necessary.Collaborate with team leads and quality assurance reviewers to uphold consistency and excellence.RequirementsEssentialA minimum of 2 years of experience in a Trade Surveillance, Market Abuse, or Market Monitoring role.Strong comprehension of MAR and key market abuse typologies.Experience with surveillance platforms such as NICE Actimize, SMARTS, Scila, Nasdaq, ACA / OneMars, Behavox, or Mantas.Exceptional analytical skills and proficiency in interpreting trading behaviors.Outstanding written communication skills, with a proven ability to create high-quality alert rationales.Ability to thrive under pressure and consistently meet throughput SLAs.Must be UK-based due to regulatory and project requirements.DesirableExperience managing alert backlogs or remediation projects.Previous consultancy or contract project experience.
About the job
About the Project
Join our dynamic consultancy in London as we embark on a large-scale Trade Surveillance Alert Review initiative. Our team is tasked with addressing a significant backlog of trade alerts across various asset classes, ensuring strict compliance with the Market Abuse Regulation (MAR) and internal conduct standards.
We are eager to welcome skilled Trade Surveillance Analysts who are ready to contribute to this fast-paced remediation program.
Role Overview
As a Trade Surveillance Analyst, you will play a critical role in the review, investigation, and resolution of trade surveillance alerts generated from diverse trading activities. Your assessment of potential market abuse behaviors will be paramount, as will your ability to escalate any suspicious activities while maintaining thorough documentation that meets regulatory requirements.
About Capitex
Capitex is a leading consultancy firm based in London, renowned for delivering high-quality services in financial compliance and risk management. We empower our clients by ensuring adherence to regulatory standards while optimizing their operational efficiency.
