Surveillance Analyst

Posted 24 Days Ago
Be an Early Applicant
Mexico, Cuauhtémoc, Mexico City
Junior
Fintech
The Role
The Surveillance Analyst will analyze orders and trading activity, monitor markets for anomalies, prepare reports for management, and coordinate regulatory audits. The role involves advising employees on market surveillance obligations and collaborating with legal counsel to enhance surveillance programs.
Summary Generated by Built In

Who We Are:
The Ocean Data Surveillance team contractually manages customer trade alerts, investigates trade anomalies, provides weekly and/or monthly statistics to business management and external customers, continually assess system control design effectiveness. Ocean’s U.S. broker dealer and Alternative Trading System customers rely on the team to conduct reviews which identify potentially abusive trading behavior as required under U.S. regulation.

Job Responsibilities

Typical job responsibilities will include:

  • Analyzing orders and trading activity based on real time-alerts and other generated alerts
  • Monitoring markets to detect anomalies, review electronically generated alerts, and address market participant inquires
  • Advising management and employees of market surveillance observations and obligations
  • Preparing written reports and analyses for management
  • Interacting with customers on market surveillance issues
  • Coordinating efforts related to audits, reviews, and examinations
  • Establishing remediation processes for identified regulatory issues
  • Administering annual training program for the staff.
  • Working in collaboration with the Office of General Counsel to strengthen market surveillance programs
  • Undertaking regulatory technology and other regulatory projects
  • Evaluating and updating surveillance systems design controls
  • Assisting with preparation, creation, and development of review procedures

Job Qualifications

  • Knowledge of U.S. equities markets and basic trading strategies
  • Ability to work and thrive in a fast-paced legal and business culture during U.S. business hours
  • Excellent written and verbal communication skills and a fine attention to detail
  • Analytical problem-solving experience
  • A high level of professionalism and outstanding business judgment.
  • Minimum 2 years relevant work experience

Education

  • Degree in Business/Finance or related discipline, or equivalent work experience

Come as You Are

Nasdaq is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation.

The Company
HQ: New York, NY
4,798 Employees
On-site Workplace

What We Do

At Nasdaq, we're relentlessly reimagining the markets of today. Not by chasing the possibilities of tomorrow, but by creating them.

In 1971, the microprocessor was born. Nasdaq wasted no time capitalizing on the new technology by bringing all-electronic trading to the market. Later in the decade, this provided the likes of Apple and Microsoft with the means to raise capital that was previously unavailable to them.

Sixteen years later on the other side of the Atlantic, OMX became the world’s first publicly traded and listed exchange company. In 2007, Nasdaq merged with OMX with a vision to be a single company with a single mission: Deliver the kind of resources that would solve the logistics of the global capital markets.

That vision has served us well. So well, in fact, that Nasdaq transformed itself from a U.S.-based equities exchange to a diversified technology provider for thousands of global firms. Today, we’re the leading technology and information services provider to the capital markets. And our Global Trading and Market Services business have become a significant part of our client offerings.

All this can be traced to Nasdaq’s focus on synchronizing and optimizing market movement – an essential principle in the growth of business economies. No one else provides customers with such a high level of infrastructure, tools and strategic insight. Customers have taken advantage of the fact that we’re the single largest liquidity pool for U.S. equities (in volume traded). We’re also acclaimed for our top-rated data offerings. And, of course, for the Nasdaq 100 — home to many of the world’s most heralded securities.

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