Surveillance Analyst - Senior Associate
State Street Global Advisors (SSGA) Market Surveillance (MS) function, established in 2015, monitors trading and detects and prevents market abuse/manipulation practice. The daily surveillance program includes review of both electronic and voice communication and trade surveillance. The MS team is hiring a senior surveillance analyst to conduct daily monitoring of SSGA business and help build out analytical technology platforms and build out a SSGA centralized surveillance function covering communication and trading monitoring for SSGA global trading desks, investment teams, and broker dealer business.
As the Senior Surveillance Analyst on the SSGA Market Surveillance team, your key responsibilities are:
- Review communication and trade surveillance for assigned asset class, raise inquiries of suspicious red flags of violating regulatory rules or internal policies, analyze, investigate, draw conclusions and communicate monitoring results and escalation to business representatives and other constituents
- Work with market surveillance Bangalore and Boston teams, SSGA Trading, Investment, Compliance, Operations, Investment Oversight, Distribution, Business Controls, IT and other State Street functions in a fast-paced challenging environment and multi-task effectively and demonstrate proactivity
- Generate ideas, draft Business Requirement Documentation (BRD), design, test and implement automated transaction surveillance reports at both individual transaction level and historical data over time to identify inappropriate trading/investment patterns and anomalies
- Committed to continue developing in-depth knowledge of financial markets, asset management, stay informed of global regulatory and market structure changes, and maintain subject matter expertise on surveillance industry trends and technology development
- Champion risk excellence through diligent execution of surveillance monitoring, evaluate and explore surveillance methodologies and technology for continuous optimization, proposing and implementing ideas to manage new technology platforms roll-out and evolve the surveillance program
We are looking for an inquisitive and motivated individual to complement with the existing surveillance team.
- You possess a strong analytical background and research capability to analyze large amount of trading data, develop thoughtful reporting, and summarize insights concisely.
- You have great project management and organizational skills to handle multiple projects and deliver under tight deadline.
- Also, you are detailed oriented and possess high ethical standards to safeguard confidentiality as well as confidence to speak up and raise issues
- We prefer exposure to or deep knowledge of various asset classes and financial products (e.g., Equity, Fixed Income, and Foreign Exchange), asset management and/or broker dealer compliance program experience, working in the front desk/trading systems, risk, technology, compliance, and advanced skills (e.g., Excel/Macros/Visual Basic/Tableau/SQL/Python)
- Additionally, securities industry license S7, 63, 24, are strong preferred. Foreign language (e.g., Japanese and Chinese) skills a plus.