Trade Surveillance Sr. Analyst

2 weeks ago


Stamford, Connecticut, United States Northern Trust Full time

About Northern Trust:

Northern Trust is a well-known financial institution that has been operating for over 130 years and is trusted by the world's most successful individuals, families, and institutions for its top-notch financial services and guidance. With a team of over 22,000 partners, Northern Trust combines extensive financial expertise with cutting-edge technology to serve its clients.

The key responsibilities of the role include:

  • Reviewing daily alerts related to market abuse surveillance within the asset manager
  • Conducting portfolio trading reviews with wider surveillance touchpoints
  • Providing suggestions for enhancements to connection points with the holistic program
  • Creating management reports for circulation to senior leadership
  • Managing key relationships with desk and compliance leaders across the organization
  • Maintaining high standards of written and verbal communications with attention to detail
  • Effectively managing time, setting priorities, and meeting deadlines
  • Analyzing possible solutions using technical experience and judgment
  • Impacting the quality of work within the team
  • Working within established guidelines and policies

The successful candidate will benefit from having:

  • Providing informal guidance to new team members
  • A College or University degree and/or relevant work experience
  • 2+ years of experience in Surveillance or compliance processes
  • Direct experience in Fixed income, futures & FX products
  • Knowledge of Bloomberg, Compliance Alpha, Aladdin & general OMS
  • Any relevant financial certifications

Knowledge required:

  • Clear and effective communication skills
  • Knowledge of Financial markets and Compliance practices
  • General knowledge of Surveillance and program development
  • Understanding of Asset Management, Equities, FX, fixed income, Futures products
  • Confidence to advise management and the business
  • Experience providing compliance advisory/consultancy and operational support
  • Strong leadership, collaboration, and interpersonal skills
  • Attention to detail and proactive approach
  • Conceptual and business knowledge in own discipline
  • Explaining complex information in simple terms

Working with Us:

As a Northern Trust partner, you will experience a flexible and collaborative work environment that encourages growth and development. The organization values innovation and offers opportunities for career advancement while being committed to supporting the communities it serves. Join a workplace with a greater purpose and be part of a company focused on sustainability and positive impact.

Reasonable accommodation

Northern Trust is dedicated to providing reasonable accommodations to individuals with disabilities during the employment process. If you require assistance, please contact our HR Service Center.

We are excited about the opportunity to work together and create a more inclusive and flexible workplace. Apply now and let's discuss how we can work towards achieving greater success together.



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