A leading global financial institution is seeking a Senior Trade Surveillance Analyst to join their Dublin-based team, focusing on Equities.
What you'll do:
As a Senior Trade Surveillance Analyst based in Dublin, you will play an integral role in safeguarding the integrity of financial markets through vigilant monitoring of Equities trading activities.
Your day-to-day responsibilities will involve:
* Consistently exercise discretion when managing confidential correspondence, information, and sensitive matters, escalating issues as appropriate to ensure organisational interests are protected.
* Stay informed about practices, procedures, and emerging trends within your area of responsibility, applying this expertise to identify risks and manage non-standard or high-risk activities effectively.
* Conduct detailed reporting and analysis at both functional and enterprise levels, using results to draw conclusions, make recommendations, and assess the effectiveness of existing programmes, policies, and practices.
* Monitor service delivery and productivity within your function, implementing continuous process improvements where opportunities exist to enhance efficiency.
* Acquire deep expertise in trade surveillance disciplines, providing guidance and direction to colleagues while identifying standard practices that can be executed more effectively.
* Adhere strictly to internal policies, procedures, and applicable regulatory guidelines while keeping abreast of evolving requirements that may impact your work.
* Build strong relationships with key stakeholders including front office teams, Compliance Advisory partners, Technology, Operations, and regional Compliance teams by coordinating requests and tracking initiatives.
* Prepare comprehensive summaries, communications, reports, and presentations for management, regulators, and other internal or external stakeholders as required.
* Proactively identify matters requiring additional review or escalation; liaise with appropriate staff members to resolve issues efficiently.
* Participate fully as a valued member of the team by supporting a positive work environment focused on quality service delivery, innovation, teamwork, timely communication, and knowledge sharing.
What you bring:
* Undergraduate degree is required for this position along with relevant professional designations such as FINRA Certified Compliance Officer Programme being highly desirable.
* Demonstrated experience (3-5 years for AVP level or 5+ years for VP level) in surveillance of Equities is essential; experience covering Options and Futures is strongly preferred.
* Previous exposure to surveillance functions at peer firms or regulatory bodies will be considered advantageous for this role.
* Solid understanding of US markets regulations related specifically to Equities, Options, and Futures is necessary for success.
* Basic knowledge of Equities trading practices forms the foundation for effective performance in this position.
* Ability to analyse large data sets from multiple sources in order to draw meaningful conclusions that meet review requirements is crucial.
* Proven track record in adhering to internal policies/procedures as well as applicable regulatory guidelines while maintaining a culture of risk management.
* Excellent interpersonal skills are needed for building relationships with stakeholders across various departments including Compliance Advisory teams and Trading desks.
* Strong written communication skills are required for preparing detailed reports, presentations, summaries for management or regulators.
* Commitment to fostering an inclusive environment that supports diversity within the workforce is expected.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates