Associate Consultant, Trade Surveillance – Global Surveillance

3 days ago

Taguig, National Capital Region, Philippines Northern Operating Services Asia Inc. Full time ₱60,000 - ₱120,000 per year

Key Responsibilities:

Trade Surveillance:

  • Conduct daily reviews and analysis of trading activity across FX 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.

FX Surveillance Focus:

  • Provide specialized monitoring of FX 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.

Key Qualifications and Experience:

  • Minimum 2 years of experience in a trade surveillance role within a bank, regulator, or similar financial institution.
  • Strong knowledge of market abuse behaviors, including insider trading, market manipulation, and other abusive practices.
  • Solid understanding of global regulatory frameworks and regulations such as MiFID II, MAR, Dodd-Frank, and others.
  • Expertise in FX surveillance is essential, with demonstrated experience monitoring FX spot, forward, and derivatives markets.
  • Exposure to equities, rates, and fixed income is highly advantageous.
  • Proficiency in using surveillance tools such as NICE Actimize, TradingHub, or similar platforms.

Skills and Competencies:

  • 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.

Preferred Skills:

  • Understanding of global FX markets and trading strategies.
  • Familiarity with SQL or data analytics tools for conducting in-depth data analysis.
  • Experience with PowerBI.

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