Trade Surveillance for Banks New York

This training course will deliver practical insights of trade surveillance and market compliance through topics such as operational response and efficiency, data and technology and insider trading.


Trade Surveillance & Market Compliance

For Financial Institutions

New York

View Agenda

This two day practical training course will begin by considering the effects regulation has had on the compliance and surveillance function.  Further topics will include; operational response and efficiency, data and technology, insider trading, market manipulation and building a trade monitoring program.

The course will be delivered by experienced practitioners from a variety of financial institutions with case studies to provide an open, discussion based learning environment. 

Learning Objectives

By the end of the two day training course delegates will have new or improved knowledge of: 

  • How the need and demand for trade surveillance is evolving in a world of regulation
  • Operational efficiency and how it can enable real-time monitoring 
  • How to correctly collect and use your data and the compliance issues surrounding it
  • Understanding how surveillance is part of the bigger picture and how it fits with the rest of the organisation
  • Considering the effects of insider trading and low priced securities fraud
Who Should Attend?

This course is primarily aimed at those working in trade surveillance and market compliance in financial institutions, however Risk Training welcomes anyone who would benefit from this training. Specific job titles may include but are not limited to: 

  • Head of market compliance
  • Governance
  • Head of traders
  • Trade floor supervision 
  • Trader
  • Trade monitoring
  • Head of market surveillance
  • Head of monitoring 
  • Regulatory monitoring manager
  • Finance and capital markets  
  • Risk officer/ analyst/ manager 
  • Securities 
Course Highlights
  • Evaluating the current state of trade surveillance 
  • Learn about operational efficiency and tools for business insight
  • Understand how to improve data management
  • Learn how to build a trade monitoring program
  • Understanding the effect market manipulation has
  • Looking at artificial intelligence and surveillance holistically 

Downtown Conference Center

157 William Street
New York
NY 10038
T: 1-212-618-6990  
Toll free- 877-DCC-MEET (322-6338)

Venue information