Market Surveillance Analyst

at  LSEG London Stock Exchange Group

About us:
LSEG (London Stock Exchange Group) is more than a diversified global financial markets infrastructure and data business. We are dedicated, open-access partners with a commitment to excellence in delivering the services our customers expect from us. With extensive experience, deep knowledge and worldwide presence across financial markets, we enable businesses and economies around the world to fund innovation, manage risk and create jobs. It’s how we’ve contributed to supporting the financial stability and growth of communities and economies globally for more than 300 years.
Through a comprehensive suite of trusted financial market infrastructure services – and our open-access model – we provide the flexibility, stability and trust that enable our customers to pursue their ambitions with confidence and clarity.
LSEG is headquartered in the United Kingdom, with significant operations in 70 countries across EMEA, North America, Latin America and Asia Pacific. We employ 25,000 people globally, more than half located in Asia Pacific. LSEG’s ticker symbol is LSEG.
Our people:
People are at the heart of what we do and drive the success of our business. Our culture of connecting, creating opportunity and delivering excellence shape how we think, how we do things and how we help our people fulfil their potential.
We embrace diversity and actively seek to attract individuals with unique backgrounds and perspectives. We break down barriers and encourage teamwork, enabling innovation and rapid development of solutions that make a difference. Our workplace generates an enriching and rewarding experience for our people and customers alike. Our vision is to build an inclusive culture in which everyone feels encouraged to fulfil their potential.
As a global organisation spanning 70 countries and one rooted in a culture of growth, opportunity, diversity and innovation, LSEG is a place where everyone can grow, develop and fulfil your potential with meaningful careers.
This role will report to the Senior Manager of FX Market Surveillance. The team is responsible for assisting the business manage and mitigate regulatory and compliance risk. It is an independent function within Capital Markets and reports through LSEG Market Supervision. The team supports a variety of businesses within Refinitiv globally ranging from regulated activity to activity that has regulatory touch points.
Role Summary:
The Market Surveillance Analyst role will be located in London , England and this individual will provide first class market surveillance expertise and advice to ensure Refinitiv’s operations, as well as regulated and unregulated activities are conducted in compliance with regulatory expectations. The role predominantly interacts with our FX MTF, FXall, Matching, RAD and Dealing platforms.
Key Responsibilities / Accountabilities:

The Firm’s Surveillance Analyst will be responsible for surveillance and oversight. This list is non-exhaustive and other duties may be added from time to time:

• Monitor for improper trading behaviour such as price manipulation, spoofing, insider dealing, insider information violations, and general market abuse.
• Review platform trading activity for any violations with Refinitiv rulebooks, operating procedures, and/or market regulations.
• Manage surveillance platform alert output. Discern which alerts require further escalation. Present alert findings to Surveillance Review Team. Ensure alert risks are mitigated in a timely manner.
• Create cases associated with questionable alerts. Own alert case lifecycle from inception to completion.
• Work with the broader surveillance team to help build, create FRDs, beta test, and implement new alerts.
• Assist with alert calibration for new and existing modules.
• Engage in risk assessment and risk mitigation planning specifically related to Refinitiv trading platforms.
• Work closely with the business to develop pragmatic market surveillance solutions and opportunities while remaining cognizant of regulatory rules, obligations and expectations.
• Work seamlessly and in partnership with other members of the Refinitiv Compliance team globally, establishing and maintaining an effective colleagueship.
• Leveraging and partnering with other colleagues within Refinitiv and LSEG, which include but are not limited to: IT, Onboarding, Operations, and the BU.
• Prepare management information reports for both internal and external regulatory reporting purposes.
• Assist with developing, maintaining and updating relevant regulatory policies, processes and procedures. Assist with ensuring and enforcing compliance with all aspects of these policies, processes and procedures when requested by the Head of Market Supervision.

Qualifications & Experience:

• Degree or equivalent and relevant professional qualification
• Significant previous experience in internal audit or other similar corporate functions (e.g., risk/ compliance)
• Previous stakeholder management experience
• Experience at using different types of software (e.g., advanced Excel and MS Access)

LSEG is a leading global financial markets infrastructure and data provider. Our purpose is driving financial stability, empowering economies and enabling customers to create sustainable growth.
Our purpose is the foundation on which our culture is built. Our values of Integrity, Partnership, Excellence and Change underpin our purpose and set the standard for everything we do, every day. They go to the heart of who we are and guide our decision making and everyday actions.
Working with us means that you will be part of a dynamic organisation of 25,000 people across 65 countries. However, we will value your individuality and enable you to bring your true self to work so you can help enrich our diverse workforce. You will be part of a collaborative and creative culture where we encourage new ideas and are committed to sustainability across our global business. You will experience the critical role we have in helping to re-engineer the financial ecosystem to support and drive sustainable economic growth. Together, we are aiming to achieve this growth by accelerating the just transition to net zero, enabling growth of the green economy and creating inclusive economic opportunity.
LSEG offers a range of tailored benefits and support, including healthcare, retirement planning, paid volunteering days and wellbeing initiatives.
We are proud to be an equal opportunities employer. This means that we do not discriminate on the basis of anyone’s race, religion, colour, national origin, gender, sexual orientation, gender identity, gender expression, age, marital status, veteran status, pregnancy or disability, or any other basis protected under applicable law. Conforming with applicable law, we can reasonably accommodate applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs.
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• Monitor for improper trading behaviour such as price manipulation, spoofing, insider dealing, insider information violations, and general market abuse.
• Review platform trading activity for any violations with Refinitiv rulebooks, operating procedures, and/or market regulations.
• Manage surveillance platform alert output. Discern which alerts require further escalation. Present alert findings to Surveillance Review Team. Ensure alert risks are mitigated in a timely manner.
• Create cases associated with questionable alerts. Own alert case lifecycle from inception to completion.
• Work with the broader surveillance team to help build, create FRDs, beta test, and implement new alerts.
• Assist with alert calibration for new and existing modules.
• Engage in risk assessment and risk mitigation planning specifically related to Refinitiv trading platforms.
• Work closely with the business to develop pragmatic market surveillance solutions and opportunities while remaining cognizant of regulatory rules, obligations and expectations.
• Work seamlessly and in partnership with other members of the Refinitiv Compliance team globally, establishing and maintaining an effective colleagueship.
• Leveraging and partnering with other colleagues within Refinitiv and LSEG, which include but are not limited to: IT, Onboarding, Operations, and the BU.
• Prepare management information reports for both internal and external regulatory reporting purposes.
• Assist with developing, maintaining and updating relevant regulatory policies, processes and procedures. Assist with ensuring and enforcing compliance with all aspects of these policies, processes and procedures when requested by the Head of Market Supervision