Trade Surveillance Sr. Analyst

2 weeks ago


Stamford, Connecticut, United States Northern Trust Full time

About the Company:


Northern Trust, a prestigious financial institution established in 1889, is a Fortune 500 company known for its exceptional services provided to successful individuals, families, and institutions worldwide.


With over 130 years of financial expertise and a team of 22,000 professionals, Northern Trust offers cutting-edge financial solutions with a focus on service, expertise, and integrity.


Job Description:

  • Review daily alerts for market abuse surveillance within the asset manager
  • Conduct portfolio trading reviews with broader surveillance touchpoints
  • Provide suggestions for improving connection points within the program
  • Create management reports for senior leadership
  • Manage relationships with key stakeholders across the organization
  • Ensure high standards of communication and attention to detail
  • Utilize time management effectively to meet deadlines
  • Analyze solutions based on technical experience and precedents
  • Enhance the quality of work for self and team members
  • Work in compliance with guidelines and policies

The ideal candidate will have:

  • Experience mentoring new team members
  • A degree or relevant work experience in Surveillance or compliance
  • 2+ years direct experience in Financial Institutions
  • Knowledge of Fixed income, futures & FX products
  • Familiarity with Bloomberg, Compliance Alpha, Aladdin & OMS systems
  • Any financial certifications would be advantageous

Skills and Qualifications:

  • Effective verbal and written communication skills
  • Understanding of financial markets and Compliance practices
  • Expertise in Asset Management, Equities, FX, fixed income, Futures products
  • Demonstrated leadership and interpersonal skills
  • Ability to work proactively with minimal supervision
  • Attention to detail and strong conceptual knowledge in the field
  • Ability to explain complex information clearly

Working Environment:

Joining Northern Trust means joining a culture that encourages growth and development. You'll have the opportunity to work in a collaborative environment with supportive senior leaders.


At Northern Trust, we are committed to making a positive impact on the communities we serve. If you are looking to make a difference, this is the place for you.


We encourage diversity and understand that flexibility is essential. Share your working preferences with us, and let's work together towards success.



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