Market Surveillance Compliance Analyst

Process Associate | Guidehouse The Tone:

This is a role at Guidehouse, located in Trivandrum, within the Market Surveillance Compliance team. Guidehouse provides comprehensive solutions across various industries. This position is vital for detecting potential insider trading, market abuse, and violations of firmwide trading policies and regulations globally. The role contributes to maintaining compliance and integrity across all business units.

• Role:
  Early Career
• Location:
  
  In-person, Trivandrum
• Team:
  Market Surveillance Compliance team within the Global Compliance Department
• Mission:
  To detect potential insider trading, market abuse, and violations of trading policies through advanced technology-based surveillances.
• Tech Stack:
  Bloomberg, Reuters, MS Excel, PowerPoint, advanced technology-based trading surveillances

• Investigate:
  Identify and investigate potential insider trading, information barrier, and market manipulation scenarios through analysis of trading alerts.
• Analyze:
  Research market-moving events, create market color, and conduct analysis of trading within this context to develop and support recommendations.
• Examine:
  Investigate potential trading issues flagged by business units, including the Global Markets & Banking and Asset and Wealth Management segments.
• Collaborate:
  Liaise with strategy groups, Engineering, and Technology in the development, review, and testing of new and existing automated surveillance models and their output.
• Coordinate:
  Coordinate with the Anti-Money Laundering Group globally on trading-related investigations and potential escalations that may lead to filing Suspicious Activity Reports (SAR).

• Background:
  Bachelor’s Degree;
  Early Career professional.
• Experience:
  
  1-2 years’ experience or working knowledge across various product types, such as fixed-income securities, equity options, and derivatives like CDSs and CFDs.
• Skills:
  
  Advanced MS Excel and PowerPoint skills, including pivot tables, VLOOKUP, experience with large data sets, and proficiency in data manipulation and presentation.
• Bonus:
  Proficiency with Bloomberg, Reuters, and other market data tools; aptitude for research; interest in capital markets, current events, and financial news; ability to identify and draft narratives explaining trading strategies; strong communication skills;
  Relevant Certifications NISM, CFA preferred.