Explore Trade Surveillance Intermediate Analyst jobs and launch a critical career at the intersection of finance, technology, and regulation. Professionals in this pivotal role act as the operational backbone of a financial institution's market conduct surveillance program. Their core mission is to protect the firm and ensure market integrity by proactively monitoring trading activity to identify potential misconduct, such as insider trading, market manipulation, or other breaches of regulatory rules and internal policies. These analysts are essential in maintaining a firm's compliance framework and upholding fair and transparent financial markets. A Trade Surveillance Intermediate Analyst typically operates within a bank, brokerage, asset manager, or exchange's compliance or risk management division. The day-to-day responsibilities are both analytical and procedural. A central duty involves the meticulous review and investigation of automated surveillance alerts generated by sophisticated monitoring systems. This requires analyzing complex trade data, order logs, and client information to discern between legitimate trading behavior and potentially suspicious activity. Analysts must document their investigative findings comprehensively, justifying the closure of false positives or escalating genuine concerns through proper channels. They often collaborate closely with senior surveillance officers, compliance advisors, legal teams, and front-office personnel to resolve cases. Beyond alert reviews, these professionals contribute to the enhancement of the surveillance program itself. This can include assisting in the design and testing of new surveillance scenarios or refining existing ones based on emerging risks or regulatory changes. They may also be involved in gathering and preparing data for regulatory inquiries or internal audits. The role demands a unique blend of skills: a solid understanding of financial products (equities, fixed income, derivatives) and trading mechanisms, coupled with knowledge of key market conduct regulations like MAR, MiFID II, or SEC rules. Strong analytical and critical thinking skills are paramount to navigate large datasets and identify subtle patterns. Typical requirements for Trade Surveillance Intermediate Analyst jobs include a bachelor's degree in finance, economics, business, or a related field. Employers generally seek candidates with 2-5 years of relevant experience in compliance, risk, operations, or trading support. Proficiency with data analysis tools, particularly advanced Excel, and the ability to quickly learn proprietary surveillance software are standard expectations. Success in this career hinges on impeccable integrity, acute attention to detail, and strong written and verbal communication skills to articulate findings clearly. For detail-oriented individuals passionate about market fairness, these roles offer a dynamic and intellectually challenging career path with significant growth potential into senior compliance and risk management positions. Discover your next opportunity in Trade Surveillance Intermediate Analyst jobs and become a key defender of financial market integrity.
