
Conduct Financial Surveillance Expert
2 weeks ago
Job Title:
Conduct Financial Surveillance Associate/Senior Associate
The conduct surveillance team is expanding rapidly due to evolving regulations and audit recommendations. We are looking for skilled professionals to review, analyze, and investigate market abuse trading activity.
Key Responsibilities:
Direct Responsibilities:
• Review, analyze & investigate market abuse trading alerts as per guidelines.
• Document and upload analysis results for record-keeping with accuracy and timeliness.
• Use research tools (Bloomberg, Reuters, etc.) for deeper investigations.
• Escalate suspicious activities for further investigation.
Contributing Responsibilities:
• Ensure timely escalation of alerts to Level 2 investigators.
• Comply with company procedures, regulatory standards, and industry best practices.
• Collaborate with team members and stakeholders.
• Meet quality assurance (QA) standards and expected daily closure volumes.
Technical & Behavioral Competencies:
• 2+ years of experience in banking/financial industry.
• Strong understanding of capital markets and market abuse types.
• Analytical mindset with investigative skills to detect red flags.
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