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Bank Of America Trade Surveillance Analyst United States, New York, New York 883340435
25.06.2024
This job is responsible for accurate and timely test development and execution and/or supporting operational and administrative activities related to the end to end test execution process. Key responsibilities of the job include executing high quality testing in accordance with the test script, documenting and escalating defects, preliminary reporting and analysis of results, and collaborating with Compliance and Operational Risk officers and/or Front Line Unit (FLU) process owners on the identification of themes and trends at the Front Line Unit (FLU), control function and Enterprise level.
Responsibilities:
- Conducts independent testing on a team in support of coverage needs identified by Compliance and Operational Risk officers and/or Front Line Unit process owners, inclusive of transactional, qualitative, onsite, employee quality review, and surveillance testing
- Identifies, documents, and escalates defects identified during testing, working closely with Compliance and Operational Risk officers and/or Front Line Unit process owners to validate preliminary results
- Collaborates with Compliance and Operational Risk officers and/or Front Line Unit process owners on the identification of themes and trends at the Front Line Unit, control function and enterprise level
- Manages the quality of the end to end execution process in accordance with the Independent Testing Enterprise Policy and Standard
- Supports the test development process as applicable depending upon the complexity of the testing
- Interacts with internal and/or external contacts to identify, research, analyze, and resolve complex problems
Skills:
- Adaptability
- Attention to Detail
- Collaboration
- Monitoring, Surveillance, and Testing
- Problem Solving
- Data Privacy and Protection
- Influence
- Issue Management
- Reporting
- Underwriting
- Interpret Relevant Laws, Rules, and Regulations
- Quality Assurance
Minimum Education Requirement:Null
Job Description:
The Trade Surveillance analyst is primarily accountable for conducting "Market Conduct Trade Surveillance” which begins with computerized analyses of activities that trigger “alerts” requiring additional review to determine whether the activity was a violation of a law, rule, regulation, policy or procedure requirement related to one or more Market Conduct Risk Behaviors.The Trade Surveillance analyst is accountable for reviewing alerts in accordance with prescribed guidance, and, reporting and analysis of results. This role may participate in development and design of the scripts used to review the alerts. The Trade Surveillance analyst collaborates with Compliance and Operational Risk on the identification of themes and trends at the front-line unit, control function and enterprise level.
Key Responsibilities:
The Trade Surveillance analyst is accountable for providing consistent, sufficient, and quality alert disposition in a timely manner, and/or supports operational and administrative initiative activities related to the Trade Surveillance of the Functional area he or she supports. This role interacts extensively with internal or external contacts to identify, research, analyze and resolve complex problems.Daily responsibilities of the Trade Surveillance analyst include reviewing alerts utilizing prescribed scripts, identifying and documenting defects and providing daily updates to leads and managers as needed. This role works closely with Risk, Compliance, and SMEs to conduct trade Surveillance.The Trade Surveillance analyst has intermediate knowledge of the system(s) of record required to conduct trade surveillance activities and translates business strategy into work programs and processes. This role may contribute and/or participate in multiple special projects.
The Trade Surveillance analyst is primarily accountable for conducting "Market Conduct Trade Surveillance” which begins with computerized analyses of activities that trigger “alerts” requiring additional review to determine whether the activity was a violation of a law, rule, regulation, policy or procedure requirement related to one or more Market Conduct Risk Behaviors.The Trade Surveillance analyst is accountable for reviewing alerts in accordance with prescribed guidance, and, reporting and analysis of results. This role may participate in development and design of the scripts used to review the alerts. The Trade Surveillance analyst collaborates with Compliance and Operational Risk on the identification of themes and trends at the front-line unit, control function and enterprise level.
Key Responsibilities:
The Trade Surveillance analyst is accountable for providing consistent, sufficient, and quality alert disposition in a timely manner, and/or supports operational and administrative initiative activities related to the Trade Surveillance of the Functional area he or she supports. This role interacts extensively with internal or external contacts to identify, research, analyze and resolve complex problems.Daily responsibilities of the Trade Surveillance analyst include reviewing alerts utilizing prescribed scripts, identifying and documenting defects and providing daily updates to leads and managers as needed. This role works closely with Risk, Compliance, and SMEs to conduct trade Surveillance.The Trade Surveillance analyst has intermediate knowledge of the system(s) of record required to conduct trade surveillance activities and translates business strategy into work programs and processes. This role may contribute and/or participate in multiple special projects.
Required Qualifications and Experience:• 2+ years work experience in Trade Surveillances or related area
• Bachelor’s Degree or equivalent experience
• Adaptability to dynamic work environment with multiple priorities and strict deadlines.
• Ability to work in a team-oriented environment.
• Ability to communicate through verbal, written and interpretational communication skills to all levels of the organization.
• Good understanding of business, markets and products
• Intellectual curiosity, anticipate risk and forward thinking
Desired Experience• Understanding of the Financial Industry, front office or back office experience or market and product knowledge (Equities, Foreign Exchange, Fixed Income and Commodities/Futures Options.
• Front office or middle office experience, or trading related experience
• Experience using surveillance tools such as Actimize and/or Smarts Surveillance platforms
• Excellent interpersonal, written and verbal communication skills
Skills and Competencies:
• General understanding of trade surveillance, and the rules, laws, and regulations that address Market Misconduct
• Knowledge of Fixed Income and Equities related products
• Effective Verbal Communication
• Business Writing and Acumen
• Acts with Courage and Conviction
• Strong Business Acumen
• Drives Operational Excellence
• Critical Thinking and Analysis
• Attention to Detail
• Strong Partnership and Influencing Skills
• Collaboration
• Time Management
• Complex Problem Solving
• Judgment and Decision Making
1st shift (United States of America)• Bachelor’s Degree or equivalent experience
• Adaptability to dynamic work environment with multiple priorities and strict deadlines.
• Ability to work in a team-oriented environment.
• Ability to communicate through verbal, written and interpretational communication skills to all levels of the organization.
• Good understanding of business, markets and products
• Intellectual curiosity, anticipate risk and forward thinking
Desired Experience• Understanding of the Financial Industry, front office or back office experience or market and product knowledge (Equities, Foreign Exchange, Fixed Income and Commodities/Futures Options.
• Front office or middle office experience, or trading related experience
• Experience using surveillance tools such as Actimize and/or Smarts Surveillance platforms
• Excellent interpersonal, written and verbal communication skills
Skills and Competencies:
• General understanding of trade surveillance, and the rules, laws, and regulations that address Market Misconduct
• Knowledge of Fixed Income and Equities related products
• Effective Verbal Communication
• Business Writing and Acumen
• Acts with Courage and Conviction
• Strong Business Acumen
• Drives Operational Excellence
• Critical Thinking and Analysis
• Attention to Detail
• Strong Partnership and Influencing Skills
• Collaboration
• Time Management
• Complex Problem Solving
• Judgment and Decision Making
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