DRW - Surveillance Analyst
Requirements
• Minimum of a Bachelors degree in Finance, Economics and/or STEM field. • Minimum 3 years’ experience in Market Abuse surveillance. • Proficiency in SQL for querying and analysing large datasets. • Working knowledge of Python & SQL • Advanced Microsoft Excel skills • Excellent English written and verbal communication skills; ability to document investigations and present findings clearly to senior stakeholders and regulators. • Experience of using automation to improve processes including AI. • Knowledge and experience of prop-trading firms. • Experience of using electronic communication monitoring systems. • For more information about DRW's processing activities and our use of job applicants' data, please view our Privacy Notice at https://drw.com/privacy-notice. • California residents, please review the California Privacy Notice for information about certain legal rights at https://drw.com/california-privacy-notice. • #LI-DW1
Responsibilities
• Monitor and review automated trade and electronic communications surveillance alerts across the firm's global trading activity, covering on-exchange and OTC markets across equities, fixed income, commodities, FX, futures, and options, initially with focus on Europe (including the UK). • Configuration of existing alerts for new activity or to improve on existing studies. • Document investigation findings clearly and concisely, maintaining a robust audit trail to regulatory standards. • Escalate suspected breaches to senior compliance staff, and support market abuse related inquiries from Exchanges, DEA Providers, and Regulators. • Analyse alert performance data and recommend calibration adjustments to improve detection quality and reduce noise. • Contribute to the design, development, and testing of new surveillance scenarios and detection models in response to evolving trading strategies, new products, or regulatory guidance. • Perform user acceptance testing (UAT) for surveillance system enhancements, new alert configurations, and platform upgrades. • Draft and maintain Business Requirement Documents (BRDs) for new or modified surveillance studies. • Use SQL, Python, and data visualisation tools to extract, analyse, and interpret large trade and market datasets to support investigations, thematic reviews, and surveillance programme enhancements. • Identify opportunities to automate manual surveillance workflows and reporting processes. • Maintain a strong working knowledge of the EU and UK Market Abuse Regulation. • Contribute to the maintenance and review of relevant compliance policies and procedures including the annual review of EU/UK automated trading. • Administer the Personal Account (PA) Dealing framework, including employee support, alert review, policy adherence monitoring, and management of the annual attestation process. • Provide regular Management Information on Surveillance to the relevant Boards of Directors. • Contribute to ad-hoc projects and general support of the Compliance function including trader registrations with Exchanges and reviewing trade data of new activity.
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