Insider Trading - Market Surveillance & AML Investigator - Analyst Level II

January 17

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Guidehouse

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Guidehouse is a global consultancy offering advisory, digital, and managed services across commercial and public sectors. It is purpose-built to support industries such as national security, financial services, healthcare, energy, and infrastructure. Guidehouse collaborates with leaders to navigate complexity and drives transformational changes that impact the future. Their expertise spans data analytics, digital technologies, risk management, and more, with a strong emphasis on sustainability and innovation.

consulting • advisory • digital • technology • managed services

10,000+ employees

Founded 2018

💰 Grant on 2023-02

📋 Description

• Identify potential insider trading, information barrier, and market manipulation scenarios through investigations and analysis of trading alerts • Research market-moving events, conduct an analysis of the trading in the context of the trades being reviewed, develop and support a recommendation • Investigate potential trading issues flagged by the business units, such as the Global Markets & Banking and Asset and Wealth Management segments • Liaise with strategy groups, Engineering, and Technology in the development, review, and testing of new/existing automated surveillance models and output • Coordinate with the Anti-Money Laundering Group globally on trade-related investigations and potential escalations which may result in the filing of Suspicious Activity Reports (SAR) • Pursue ad-hoc projects related to trading around market-moving news events such as drug trials, merger & acquisition announcements, offerings, corporate accounting scandals, etc. • Participate and potentially lead working groups that focus on enhancing controls/quality of the trade surveillance program • Identify potential gaps and assist with creating and providing training to junior analysts and provide support on more complex cases. • Work efficiently in a production driven environment, while delivering the expected highest quality standards. • Determine risks associated with customer types when engaged in customer due diligence. • Research, identify and analyze time-sensitive data from multiple sources, and document findings in a written work product. • Conduct an end-to-end and meticulous review of potentially illegal or suspicious activity, leading to an escalation and/or a Suspicious Activity Report (SAR) file recommendation. • Submit written work product for review by Guidehouse and client-led quality control teams, make the requested adjustments as necessary, and apply the feedback going forward. • Compare and contrast common business entity types and determine if the transactions and pattern fit what’s expected for that type of customer. • Determine mitigating measures for various risk customers. • Always adhere and follow client policies, procedures, and requirements. • Conduct transaction monitoring of assigned accounts to assess potential suspicious activity on the account, such as money laundering, terrorism financing and any other possible financial crimes activity. • Have the capacity to accurately and timely analyze and pull data from multiple sources to work effectively and under scenarios that may present multiple complexities simultaneously. • Adhere to and comply with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.), as well as adhering to company policies and procedures and client requirements. • Pay attention and respond to email communication in a professional and timely manner. • Attend and actively participate in required company and client training courses. • Accurately record time and workflow progress on a daily basis. • Have the capacity to adapt to different emerging and shifting priorities depending on the project and client needs.

🎯 Requirements

• Bachelor’s Degree • 2+ years’ experience/working knowledge of many different product types such as fixed-income securities, equity options, and other derivatives such as CDS and CFDs • Advanced MS Excel and PowerPoint skills (Pivot tables, VLOOKUP, experience with large data sets, proficient in data manipulation and presentation) • Proficiency with Bloomberg Online/Bloomberg Terminal, Reuters and other market data tools and aptitude for research/• Interest in capital markets, current events, and financial news • Ability to identify and draft a narrative explaining trading strategies • Strong communication skills, comfort developing a recommendation and supporting it by presenting and explaining analysis • Team player with great attitude and work ethic • Ability to multi-task on several different assignments/projects • Interest in working on a global team dealing with global businesses • FINRA SIE and/or Series 7/63 preferred • Bachelor’s Degree and minimum 2 years of prior relevant experience. However, relevant experience may be substituted for formal education or advanced degree. • Proficient in Microsoft Excel (Intermediate/Advanced) and Microsoft Word. • Ability to detect and mitigate red flags for potential financial crime, including money laundering, terrorism financing activities and fraud, as it appears in transactional data. • Knowledge of US reporting requirements as it relates to suspicious activity reports and cash transaction activity. • Transaction analysis skills related to international wires, corresponding banking, cash, and check activity. • Strong data analysis, problem solving, and organizational skills.

🏖️ Benefits

• Medical, Rx, Dental & Vision Insurance • Personal and Family Sick Time & Company Paid Holidays • Position may be eligible for a discretionary variable incentive bonus • Parental Leave • 401(k) Retirement Plan • Basic Life & Supplemental Life • Health Savings Account, Dental/Vision & Dependent Care Flexible Spending Accounts • Short-Term & Long-Term Disability • Tuition Reimbursement, Personal Development & Learning Opportunities • Skills Development & Certifications • Employee Referral Program • Corporate Sponsored Events & Community Outreach • Emergency Back-Up Childcare Program