Insider Trading/Market Surveillance Analyst
Job Family
Investigator
Travel Required
None
Clearance Required
None
What You Will Do
Identify potential insider trading, information barrier, and market manipulation scenarios through investigations and analysis of trading alerts
Research market-moving events, conduct an analysis of the trading in the context of the trades being reviewed, develop and support a recommendation
Investigate potential trading issues flagged by the business units, such as the Global Markets & Banking and Asset and Wealth Management segments
Liaise with strategy groups, Engineering, and Technology in the development, review, and testing of new/existing automated surveillance models and output
Coordinate with the Anti-Money Laundering Group globally on trade-related investigations and potential escalations which may result in the filing of Suspicious Activity Reports (SAR)
Pursue ad-hoc projects related to trading around market-moving news events such as drug trials, merger & acquisition announcements, offerings, corporate accounting scandals, etc.
Participate and potentially lead working groups that focus on enhancing controls/quality of the trade surveillance program
What You Will Need
Bachelors Degree
2+ years experience/working knowledge of many different product types such as fixed-income securities, equity options, and other derivatives such as CDS and CFDs
Advanced MS Excel and PowerPoint skills (Pivot tables, VLOOKUP, experience with large data sets, proficient in data manipulation and presentation)
What Would Be Nice To Have
Proficiency with Bloomberg Online/Bloomberg Terminal, Reuters and other market data tools and aptitude for research
Interest in capital markets, current events, and financial news
Ability to identify and draft a narrative explaining trading strategies
Strong communication skills, comfort developing a recommendation and supporting it by presenting and explaining analysis
Team player with great attitude and work ethic
Ability to multi-task on several different assignments/projects
Interest in working on a global team dealing with global businesses
FINRA SIE and/or Series 7/63 preferred
The annual salary range for this position is $65,900.00-$98,900.00. Compensation decisions depend on a wide range of factors, including but not limited to skill sets, experience and training, security clearances, licensure and certifications, and other business and organizational needs.
What We Offer
Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace.
Benefits Include
Medical, Rx, Dental & Vision Insurance
Personal and Family Sick Time & Company Paid Holidays
Position may be eligible for a discretionary variable incentive bonus
Parental Leave
401(k) Retirement Plan
Basic Life & Supplemental Life
Health Savings Account, Dental/Vision & Dependent Care Flexible Spending Accounts
Short-Term & Long-Term Disability
Tuition Reimbursement, Personal Development & Learning Opportunities
Skills Development & Certifications
Employee Referral Program
Corporate Sponsored Events & Community Outreach
Emergency Back-Up Childcare Program
About Guidehouse
Guidehouse is an Equal Employment Opportunity / Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, national origin, ancestry, citizenship status, military status, protected veteran status, religion, creed, physical or mental disability, medical condition, marital status, sex, sexual orientation, gender, gender identity or expression, age, genetic information, or any other basis protected by law, ordinance, or regulation.
Guidehouse will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of applicable law or ordinance including the Fair Chance Ordinance of Los Angeles and San Francisco.
If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting at 1-571-633-1711 or via email at [email protected]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation.
Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee.
Apply Now
Investigator
Travel Required
None
Clearance Required
None
What You Will Do
Identify potential insider trading, information barrier, and market manipulation scenarios through investigations and analysis of trading alerts
Research market-moving events, conduct an analysis of the trading in the context of the trades being reviewed, develop and support a recommendation
Investigate potential trading issues flagged by the business units, such as the Global Markets & Banking and Asset and Wealth Management segments
Liaise with strategy groups, Engineering, and Technology in the development, review, and testing of new/existing automated surveillance models and output
Coordinate with the Anti-Money Laundering Group globally on trade-related investigations and potential escalations which may result in the filing of Suspicious Activity Reports (SAR)
Pursue ad-hoc projects related to trading around market-moving news events such as drug trials, merger & acquisition announcements, offerings, corporate accounting scandals, etc.
Participate and potentially lead working groups that focus on enhancing controls/quality of the trade surveillance program
What You Will Need
Bachelors Degree
2+ years experience/working knowledge of many different product types such as fixed-income securities, equity options, and other derivatives such as CDS and CFDs
Advanced MS Excel and PowerPoint skills (Pivot tables, VLOOKUP, experience with large data sets, proficient in data manipulation and presentation)
What Would Be Nice To Have
Proficiency with Bloomberg Online/Bloomberg Terminal, Reuters and other market data tools and aptitude for research
Interest in capital markets, current events, and financial news
Ability to identify and draft a narrative explaining trading strategies
Strong communication skills, comfort developing a recommendation and supporting it by presenting and explaining analysis
Team player with great attitude and work ethic
Ability to multi-task on several different assignments/projects
Interest in working on a global team dealing with global businesses
FINRA SIE and/or Series 7/63 preferred
The annual salary range for this position is $65,900.00-$98,900.00. Compensation decisions depend on a wide range of factors, including but not limited to skill sets, experience and training, security clearances, licensure and certifications, and other business and organizational needs.
What We Offer
Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace.
Benefits Include
Medical, Rx, Dental & Vision Insurance
Personal and Family Sick Time & Company Paid Holidays
Position may be eligible for a discretionary variable incentive bonus
Parental Leave
401(k) Retirement Plan
Basic Life & Supplemental Life
Health Savings Account, Dental/Vision & Dependent Care Flexible Spending Accounts
Short-Term & Long-Term Disability
Tuition Reimbursement, Personal Development & Learning Opportunities
Skills Development & Certifications
Employee Referral Program
Corporate Sponsored Events & Community Outreach
Emergency Back-Up Childcare Program
About Guidehouse
Guidehouse is an Equal Employment Opportunity / Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, national origin, ancestry, citizenship status, military status, protected veteran status, religion, creed, physical or mental disability, medical condition, marital status, sex, sexual orientation, gender, gender identity or expression, age, genetic information, or any other basis protected by law, ordinance, or regulation.
Guidehouse will consider for employment qualified applicants with criminal histories in a manner consistent with the requirements of applicable law or ordinance including the Fair Chance Ordinance of Los Angeles and San Francisco.
If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting at 1-571-633-1711 or via email at [email protected]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation.
Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee.
Apply Now