New York, New York, United States
The Surveillance and Testing Group (STG), as part of the Research and Trading Compliance Group, provides surveillance, monitoring, and analysis in support of the regulatory obligations of Two Sigma’s advisory businesses. STG plays a vital role in the risk mitigation of and transparency into the advisors’ investment management processes.
The Surveillance Analyst role within the Surveillance and Testing Group will play an integral part in further developing and automating the Two Sigma surveillance platform. This role includes day-to-day surveillance as well as strategic project work. The analyst will be expected to become knowledgeable in the investment management processes across products, business areas, and jurisdictions, and to build relationships across business and engineering groups. This role entails data analysis, requirements analysis, and review and documentation of surveillance processes.
- Conduct T+1 surveillance using exception reports and other tools
- Review alerts, investigate potential violations, and ensure escalation and remediation actions as needed. Assess and investigate false positives for potential improvements.
- Perform case management and documentation
- Participate in requirements analysis, specification, and implementation of strategic initiatives, processes, and procedures around monitoring and surveillance
- Perform forensic analysis and document work product
- Propose improvements to surveillance and monitoring processes
- Work with compliance advisory staff on cases, requirements and change requests
- Work with the compliance engineering team to provide requirements, track projects, and provide independent QA / UAT
- Keep up with trends and news related to the markets and market surveillance space
- 5+ years experience in one of the following areas: Trading, Operations, Compliance, or Trade Surveillance
- Strong background in data analysis and reporting. Ability to work with large sets of data and uncover trends and outliers.
- Knowledge of equity market microstructure. Knowledge of futures, options, and FX markets a plus
- Knowledge of algorithmic trading a plus
- Strong Excel/PowerPoint
- IT background and Tech savvy
- Proficiency in SQL. Proficiency in Python a plus.
- Curious, passion for problem-solving/investigation
- Strong written and verbal communication skills
- Ability to work well with teams across the organization including engineering, front-office, and operations
- Degree in Finance, Business, Economics, or a technical field preferred