Senior Associate - Capital Markets Investigator- Trade Surveillance

The number of surveillance models that are being deployed for compliance is expanding at a very fast pace. This expansion is being driven by new regulations and by an increase in the recommendations that are the output of internal and external audits and regulatory visits. This expansion will also increase the alert population and surveillance coverage and will require additional staff to investigate each occurrence to determine whether there is sufficient reason to generate a suspicious activity report.

The risk type currently covers both Trade Surveillance (e.g. insider trading, manipulation, Historical Behavioural Pattern, Watchlist etc) Electronic Communication Surveillance (e.g. use of unauthorized communication channel, data leakage, inappropriate sharing of MNPI/confidential information etc) responsible for managing day to day compliance responsibilities and work closely with the local, regional and global team on compliance related matters pertaining to the Bank as well as local regulatory requirements

Responsibilities

Trade Surveillance

• Review, analyse and close alerts generated by an automated monitoring system at LEVEL1 in accordance with relevant review process as defined in the operating guidelines
• As necessary, use available research tools to identify publicly available information concerning transactions to be identified for further investigation.
• Escalate alerts for transactions deserving further investigation to Level 2.

• Obtain and upload alert analysis results and relevant material for record keeping purposes and conclude the alerts within the indicative target timelines without compromising the quality and completeness of the analysis
• Ensure escalation of alerts to Level 2 Investigator is proper, in a timely manner and supported by relevant information and due diligence search results.
• Collaborate and work in tandem with team members and relevant stakeholders.
• Be supportive and adoptive to changes of procedures and scope of work.
• Meet the QA requirements and the expected daily alert closure volume

o Complete all mandatory training as required to attain and maintain competency

ECOMM Surveillance

o Review email and other electronic communications of bank employees for adherence to firm and regulatory rules and requirements.

o Detect, review and report potentially suspicious activities.

o Use any available research tools to identify publicly available information concerning transactions and communications identified for further investigation.

o Conducting both routine and special inquiries as required or requested.

o Performing routine administrative duties and reviews

o Working with local Compliance managers to resolve instances of apparent breaches from firm and regulatory rules

o Proactive and timely escalation of issues (including those from investigations) with adequate supporting information to the Monitoring Manager

o Provide day-to-day assistance and support to the local Surveillance teams

o Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary.

o Assisting in regulatory and internal investigations as assigned by the Compliance Management Team

o Assist in preparing management information and reporting regarding surveillance and monitoring activities

o Complete all mandatory training as required to attain and maintain competency.

o At least 2 years experience in banking /financial industry

o A good understanding of capital markets

o Familiar with Market Abuse Manipulation types

o Good communication skills and eager to learn.

o Analytical and with an investigative eye for accurate details and red-flag situations

o Ability to work in a team as well as independently.

o Ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes.

o Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem-solving and an ability to work in a fast-paced, rapidly changing environment

• Capital Markets Certifications
• Bachelors degree or higher, in some type of investment banking discipline

Skills Referential

Behavioural Skills: (Please select up to 4 skills)

Ability to collaborate / Teamwork

Communication skills - oral written

Critical thinking

Adaptability

Transversal Skills: (Please select up to 5 skills)

Analytical Ability

Ability to develop and adapt a process

Ability to develop others improve their skills

Ability to set up relevant performance indicators

Ability to develop and leverage networks

Education Level:

Bachelor Degree or equivalent

Experience Level

At least 3 years

Other/Specific Qualifications

Capital Market Certifications