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 .
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