Job Title: Business Analyst Trade Surveillance
Location: Charlotte, NC (onsite)
Duration: 12 months.
Type: W2 Contract
We are seeking a Trade Surveillance Business Analyst to enhance our compliance technology systems, ensuring adherence to FINRA, SEC, and global market abuse regulations.
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
Job Descriptiion:
Requirement Analysis:
Gather and document business requirements for trade surveillance systems (e.g., Nasdaq SMARTS, Actimize, Bloomberg SURF).
Define rulesets for detecting insider trading, spoofing, wash trades, and other market abuse patterns .
System Optimization:
Reduce false positives by refining surveillance algorithms and thresholds.
Collaborate with quants/data scientists to improve machine learning models for anomaly detection.
Stakeholder Collaboration:
Work with Compliance Officers to align surveillance workflows with SEC Rule 15c3-5, MAR (Market Abuse Regulation), and MiFID II .
Partner with IT to implement enhancements in real-time monitoring and post-trade analytics .
Data & Reporting:
Analyze trade/communication data (voice, chat, emails) for suspicious activity.
Develop dashboards (Power BI, Tableau) for surveillance metrics and regulatory reporting.
Required Skills & Experience:
9+ years as a Business Analyst in Trade Surveillance, Compliance, Capital Markets Technology .
Deep understanding of equity/derivative trading behaviors and market abuse typologies.
Hands-on experience with surveillance tools (SMARTS, Actimize, Eventus, or similar).
Proficiency in SQL, Excel, and data analysis (e.g., parsing FIX messages, trade logs).
Knowledge of global regulations (FINRA, SEC, MAR, CFTC).
Preferred:
Familiarity with Python/R for data analysis (Pandas, regex for communication surveillance).
Exposure to cloud-based surveillance solutions (AWS, Azure).
Certifications like CAMS, CFA, or Series 7/24 .
...you'll gain community, mentorship, and opportunity : Work from Home Stability Enjoy the flexibility and security of a fully remote... ...Learn from the best in the business with ongoing virtual workshops, one-on-one coaching , and team training . ...
...Summary We are searching for full-time early childhood education teachers to work in Madison's first "WELLness" preschool. The ideal candidate would exhibit a passionate and enthusiastic attitude towards working with children. The teacher will be responsible...
...Senior Java Developer Equities Trading Systems MUST be local to New York City, Hybrid Schedule, at least 3 days onsite Salary: up to $200k No Sponsorship Available We are looking for a 100% hands-on Senior Java Developer to join our dynamic trading technology...
...than helping others achieve it. Join us in empowering others to Live Well!**What We're Looking For:**We are seeking a dynamic Store Manager who embodies GNC's "Live Well" philosophy-living strong, living long, and living fit. At GNC, we celebrate the fact that everyone...
...help build a global recycling cleantech company! Job Summary Warehouse Supervisor will oversee and coordinate Shipping/Receiving... ...varying weather conditions. The job may involve shift work, weekend shifts, or on-call availability depending on operational needs....