Job Description

Job Summary:

We are seeking an experienced Business Analyst with a strong background in Trade Surveillance to join our dynamic team in Charlotte, NC . The ideal candidate will possess a solid understanding of trading activities across asset classes, regulatory compliance, and surveillance systems. You will work closely with business stakeholders, compliance teams, and technology partners to ensure robust trade monitoring and reporting practices.

Key Responsibilities:

• Act as a liaison between business users, compliance, and technology teams to gather, analyse, and document business requirements for trade surveillance systems.
• Collaborate on the design and implementation of surveillance models and rules across asset classes (e.g., equities, fixed income, derivatives).
• Analyse trading data and alerts to identify patterns of potential market abuse or non-compliant behavior.
• Work with regulatory compliance teams to ensure surveillance practices meet FINRA, SEC, and other global regulatory requirements.
• Support the development and enhancement of trade surveillance tools and platforms such as NICE Actimize, SMARTS, or similar systems.
• Assist in User Acceptance Testing (UAT) and validation of implemented features.
• Track project milestones and provide regular updates to project stakeholders and leadership.

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