Job Details
Job Title: Business Analyst(Trade surveillance)
Location: Plano, TX
Duration: Full-Time
DESCRIPTION:
Trade surveillance, or market surveillance, involves monitoring the activities of the firm and its employees to detect illegal and unethical trading practices including market manipulation, fraud, money laundering, insider trading, speculation, and unsuitable investments.
- 10 years + Business & Functional Experience
- Bachelors Degree or equivalent work experience in Global markets and/or products
- Excellent understanding of global markets, processes, and products (Fixed Income and Commodities/Futures Options).
- Ability to handle multiple projects in a dynamic environment.
- Include systems knowledge - NASDAQ SMARTS and Actimize specializing in Reg. SHO, Reg. NMS, Market Access, Best Execution, Trade Reporting, and Market Manipulation
- Understands Front running, insider trading and market manipulation utilizing tools like the SMARTS surveillance system.
- Understands Client ATS, TRACE, OATS and manipulation report cards for patterns of non-compliance.
- Understands equities advisory and how the supervisory desk works to discuss surveillance findings and remediation.
- Ability to test across multiple lines of business.
- Extensive functional or professional knowledge
- Microsoft Suite of products
Skills and Competencies: - Effective Verbal Communication
- Business Writing and Acumen
- Acts with Courage and Conviction
- Strong Business Acumen
- Drives Operational Excellence
- Critical Thinking and Analysis
- Attention to Detail
- Strong Partnership and Influencing Skills
- Collaboration
- Time Management
- Complex Problem Solving
- Judgment and Decision Making
- May Give Feedback
Diverse Lynx LLC is an Equal Employment Opportunity employer. All qualified applicants will receive due consideration for employment without any discrimination. All applicants will be evaluated solely on the basis of their ability, competence and their proven capability to perform the functions outlined in the corresponding role. We promote and support a diverse workforce across all levels in the company.