David Foster
Market Surveillance Analyst @Guidehouse
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WORK HISTORY
Market Surveillance Analyst @Guidehouse
Monitor trading activity across equities, fixed income, and derivatives markets to detect potential insider trading and market manipulation. •Utilize surveillance tools (e.g, OWL, Reuters) to identify unusual patterns and flag suspicious transactions. •Conduct in-depth reviews of flagged alerts, reconciling trading activity with market-moving events and public disclosures. •Collaborate with Compliance, Legal, and Risk teams to investigate and escalate potential violations of securities laws and internal policies. •Assist in the development and refinement of surveillance models and rules to enhance detection of market abuse. •Prepare detailed reports and documentation for internal governance and regulatory inquiries (e.g, FINRA, SEC, FCA). •Maintain awareness of global regulatory developments and ensured adherence to market conduct standards. •Participate in cross-functional projects to enhance surveillance capabilities, including automation and data analytics initiatives.
EDUCATION
Michigan State University
Bachelor of Science, Business Management
Cornerstone University
Masters of Business Administration (MBA), Business, Management, Marketing, and Finance
ABOUT DAVID FOSTER
I bring a unique perspective with over 6 years of trading services experience across…
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