Job summary:

At Compliance Conduct and Operational Risk division, as a trade surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the information barrier and restricted list policies. The trade surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements.

The Firm’s Global Compliance Surveillance team is hiring experienced Trade Surveillance analysts. Key responsibilities and qualifications for available roles include:

Job responsibilities:

Reviewing Trade surveillance alerts and conducting analysis of trading and market activity for asset class and programs such as Equities, Information barriers, Fixed income, Futures/ Options and Asset management Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately Working with business and compliance stakeholders to identify potential market misconduct and technical rule violations and disposition, accordingly, include through interaction with regional Surveillance teams Conducting alert-based reviews for potential violations of laws, rules, and regulations. Work along with peers, handle multiple reports, engage in result-oriented tasks in a fast-paced environment. Identifying areas for process improvement and contribute towards the same Additional duties as assigned & Identifying areas for process improvement and contribute towards the same Identify key issues, risks, trends, observations and have them highlighted to management/key stakeholders

The Team Lead will also be responsible for;

Managing the daily volumes across queues, overseeing and implementing controls and governance framework  Lead and manage a team of trade surveillance analysts, providing guidance, training, and support Developing subject matter expertise across the various reports of Surveillance across regions while having strong understanding of CIB, Asset management, Information barriers etc and ensuring the knowledge is well imparted across the teams Building and maintaining collaborative partnerships with Surveillance teams across regions

Required qualifications, capabilities, and skills:

Qualified graduate with minimum 10 years of relevant experience Product experience with exchange traded products (including equities, futures and Fixed income) and/or information barriers / Asset management An understanding of markets and potential market manipulative behavior and a demonstrated ability to conduct reviews relating to regional rules and regulations  Experience with reviewing trading activity for Compliance and familiarity with securities laws and regulations for identifying potential trading violations

Preferred Qualifications, Capabilities, and Skills:

Experience with SMARTS, Actimize or similar Trade surveillance systems is a plus Experience with navigation and sourcing of information in Bloomberg/public sources  Working Knowledge of securities markets preferred