TL/AM - Market Surveillance

Job Family:

Travel Required:

Clearance Required:

What You Will Do:

• Trade Surveillance and Market Surveillance
• Conduct daily reviews and analysis of trading activity across Equity, FI and other asset classes, utilizing surveillance tools and techniques to identify potential market abuse or irregularities.
• Generate and investigate alerts related to insider trading, market manipulation, and other misconduct.
• Escalate suspicious activities to senior management and compliance teams, providing detailed and accurate analysis.
• Regulatory Compliance:
• Ensure adherence to global regulatory frameworks, including but not limited to MiFID II, MAR, Dodd-Frank, and other jurisdiction-specific rules.
• Collaborate with compliance and legal teams to maintain a robust surveillance framework aligned with evolving regulations.
• Surveillance Focus:
• Provide specialized monitoring of trading activities, including spot, forwards, and derivatives markets.
• Identify trends and behaviors that may indicate market manipulation, such as front-running or spoofing.
• Cross-Asset Expertise (Beneficial):
• Contribute to surveillance efforts across equities, rates, and fixed income, leveraging a multi-asset perspective to strengthen overall surveillance capability.
• Stakeholder Collaboration:
• Partner with front-office teams, compliance, and technology to ensure surveillance systems and methodologies are effective and up to date.
• Provide insights and recommendations for process improvements and control enhancements.
• Reporting and Documentation:
• Prepare clear, concise, and timely reports for senior management and regulators.
• Maintain meticulous records of all investigations and outcomes.

What You Will Need:

• 5+ years of experience in a trade surveillance role out of which 2+ years in leadership role within a bank, regulator, or similar financial institution.
• Effective management and leadership skills.
• Work with managers across all business unit functions to resolve risk issues as appropriate.
•  Delivery and monitoring of key risk/management indicators, delivery of management reporting.
•  Strong knowledge of market abuse behaviors and tactics, including insider trading, spoofing, layering, and other forms of manipulation.
•  Solid understanding of global regulatory frameworks and regulations such as MiFID II, MAR, Dodd-Frank, and others.
•  Expertise in surveillance is essential, with demonstrated experience monitoring Equity, FI, spot, forward, and derivatives markets.
• Proficiency insing surveillance tools such as NICE Actimize, Trading Hub, Reuters, Bloomberg or similar platforms.
•  Exposure to FX, Commodities is highly advantageous.

What Would Be Nice To Have:

• Experience with Microsoft Office (especially Word, PowerPoint, Access, and Excel) .
• Technical and data manipulation experience with Excel (pivot tables, VLOOKUP)
• Ability to communicate results of complex analytic findings to both technical and non-technical audiences.
• Analytical mindset with the ability to assess complex trading behaviors and identify anomalies.
•  Strong written and verbal communication skills for drafting reports and engaging with stakeholders.
•  Proactive, detail-oriented, and capable of working under pressure in a fast-paced environment.
•  Team player with a collaborative approach to problem-solving.

What We Offer:

Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace.

About Guidehouse
Guidehouse is an Equal Employment Opportunity / Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, national origin, ancestry, citizenship status, military status, protected veteran status, religion, creed, physical or mental disability, medical condition, marital status, sex, sexual orientation, gender, gender identity or expression, age, genetic information, or any other basis protected by law, ordinance, or regulation.

If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting via email at RecruitingAccommodation@guidehouse.com. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation.

Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee.