Trade Surveillance - Fixed Income Compliance - JN-022025-6666908

Client looking to move quickly
Wide Exposure Across the Firm

About Our Client

Client is a leading global provider of market infrastructure, offering innovative solutions in financial services, data, and analytics.

Job Description

Review trade exception reports and trading activity to ensure compliance with relevant rules, regulations, and firm policies.
Create and develop an exception reporting process, including trend framework analysis.
Assess alerts generated by trade/order/communication surveillance systems and escalate to management when necessary.
Operate the surveillance control framework and assist in testing and validating its controls.
Log identified breaches in the internal risk management system.
Perform oversight and monitoring of policies and procedures, documenting results and escalating potential issues.
Assist with internal investigations, including drafting detailed reports.
Respond to and address business inquiries to ensure compliance with applicable laws, regulations, and firm policies.
Support the implementation and enhancement of surveillance reports, processes, and procedures.
Assist in the preparation of surveillance management information (MI).
Conduct reviews of targeted populations using trade, order, and communications data to detect potential misconduct.
Contribute to the design and development of the Americas Targeted Surveillance initiative.
Gather and maintain data metrics to support surveillance operations.
Assist in conducting root cause analysis with the business to ensure misconduct issues are prevented from recurring.
Liaise with relevant stakeholders (Compliance management, Desk Heads, Senior Managing Directors) on emerging issues.
Fulfill additional and ad-hoc duties as required to meet the needs of the business and function.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Knowledge of surveillance approaches in financial markets.
Strong planning and execution skills, with attention to detail, analytical ability, and problem-solving capabilities.
Effective oral communication and persuasion skills, with experience working with a variety of stakeholders within a firm.
Strong written communication skills, including the ability to draft investigation reports.
Excellent organizational skills, with the ability to manage multiple datasets, including understanding, collating, and correcting data.
Comfortable with technology and interested in exploring its potential opportunities.
Self-motivated, proactive, and able to work independently as well as part of a team.
Ability to work under pressure and respond accurately and effectively to urgent queries.

3-5 years of surveillance or related experience.
Proficient in Microsoft applications (Word, Excel, PowerPoint, Outlook, etc.).
Knowledge of wholesale financial markets and financial products in Commodities, Interest Rates, Fixed Income, and Equities asset classes.