Market Abuse Surveillance

Experienced - BFO

London, UK

Job Overview 

TD Cowen is looking for a Market Abuse Surveillance Analyst to join its Compliance team in London on a 4 month fixed term contract.

Specific responsibilities will include, but are not limited to:

  • Identifying suspicions of market abuse through the use of an automated monitoring tool
  • Investigating and closing out alerts on a timely basis
  • Documenting the review of automated alerts to provide a audit trail showing rationale for closure
  • Escalating alerts to the MLRO if they require further consideration
  • Using a variety of internal and industry tools to obtain data to enrich the information included in surveillance system escalations

Job Requirements/ Qualifications

  • 5+ years experience in a market abuse surveillance role,
  • Experience of monitoring equities markets,
  • Strong understanding of the market abuse risks relevant to equities trading activities,
  • Familiar with the use of automated monitoring tools
  • Strong Microsoft Excel skills

Who We Are 

As a leading corporate and investment bank, TD Securities offers a wide range of integrated capital markets products and services. Our corporate, government, and institutional clients choose us for our innovation, execution, and experience.

With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.

TD Cowen is a division of TD Securities. As part of TD Securities' broader suite of integrated capital markets products and services, our offering includes investment banking, research, sales and trading, prime brokerage, outsourced trading, and commission management services.

We are growth-oriented, people-focused, and community-minded. As a team, we work to deliver value for our clients every day.

Learn more: https://www.cowen.com/ and https://www.linkedin.com/company/cowen-inc/

 

Our Values 

VISION

We consistently deliver differentiated and disruptive insights that help our clients outperform.

EMPATHY

We proactively consider and account for the priorities and concerns of our colleagues and clients.

SUSTAINABILITY

We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of time.

TENACIOUS TEAMWORK

We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.

Privacy Notices and Policies | Cowen

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Protect Yourself from Recruitment Fraud. Recruitment fraud can be attempted through fake job postings, fake websites (posing as a Company) or unauthorized individuals impersonating recruiters (even using employee names). Depending on the role, Cowen will ask candidates to complete 2-4 interviews with Cowen employees before receiving an offer for employment. All communication regarding the interview process will come from an @cowen.com or @greenhouse.io email address. At no time throughout the hiring process will a Cowen recruiter or Human Resource Professional request any type of payment in order to be considered for the role. In addition, candidates will not be asked to submit personal information as a pre-requisite for the interview process.