Job Purpose
BTIG is seeking a Trade Surveillance Analyst to join our Compliance team in our London office. This role requires diligence and a strong understanding of equities trading from a sell-side perspective. Knowledge of fixed income bond trading would be advantageous. The ideal candidate will be confident in assessing market abuse risks and familiar with dealing room floor controls.
The individual will be responsible for reviewing flagged trades through LiquidMetrix and BTCA, conducting eComms surveillance using Global Relay, and making suggestions to improve rules and lexicons over time. They will also carry out thematic reviews including but limited to best execution reviews, PA Dealing reviews and short selling checks.
As an entrepreneurial organisation, BTIG’s Compliance team is here to support business demands. A proactive mindset is essential, as this role may involve assisting with wall crossings and other Control Room tasks. Strong organisational skills are key, with a focus on maintaining accurate records and key compliance metrics.
If you thrive in a fast-paced, dynamic environment and have a keen eye for trade surveillance and compliance, we’d love to hear from you.
Duties and Responsibilities
- Undertake trade surveillance and eComms surveillance; comfortable assessing independently whether an order or trade is suspicious.
- BestEx analysis across fixed income and equities.
- Conduct PA dealing approvals
- Creating MI on the reviews conducted, accurately minuting and following up on action items
Requirements and Qualifications
- Minimum 2 + years’ experience
- Experience of operating within equities Trade and eComms Surveillance (sell-side)
- Understanding of Market Abuse and its associated controls within a dealing room environment (equities and bonds)
- Understanding of best execution requirements
- Understanding Conflicts of Interest regulatory requirements and controls
- Proactive and self-motivated
- Organised with a detail orientated mindset
- Persistent with a ‘can do’ attitude
- Team driven – supportive
Important Notes
- Must be authorised to work full time in the U.K., BTIG does not offer sponsorship for work visas of any type
- No phone calls please, the applicant will be contacted if successful.
About BTIG
BTIG is a global financial services firm specializing in institutional trading, investment banking, research and related brokerage services. With an extensive global footprint and more than 700 employees, BTIG, LLC and its affiliates operate out of 20 cities throughout the U.S., and in Europe, Asia and Australia. BTIG offers execution, expertise and insights for equities, equity derivatives, ETFs and fixed income, currency and commodities. The firm’s core capabilities include global execution, portfolio, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.
BTIG is committed to an equal to an equal employment opportunity environment. In accordance with applicable law. All qualified applicants will receive consideration for employment without regard to race, colour, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status.
Disclaimer: https://www.btig.com/disclaimer.aspx.
Top Skills
What We Do
BTIG is a global financial services firm specializing in institutional trading, investment banking, research and related brokerage services. Located throughout the U.S., and in Europe, Asia and Australia, our professionals leverage their expertise to service clients at every stage of the investment lifecycle. Fueled by our passion to help maximize results for our institutional and corporate clients, BTIG offers personalized multi-asset class execution, expertise and insights worldwide across equities, equity derivatives, ETFs, fixed income, futures, commodities, foreign exchange, interest rates, credit, and convertible and preferred securities. The firm’s core capabilities include global sales, portfolio, electronic and outsource trading, transition management, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more.
With a team of seasoned industry experts, BTIG provides end-to-end solutions for a diverse global client base. As we look to unlock value and propel growth for clients, we are consistently capturing market share year after year. Committed to excellence, we are proud of our rich history of designing solutions that help our clients achieve their objectives.
For more information about BTIG, please visit www.btig.com.
Member of FINRA and SIPC.
