Manager - Trade Surveillance
4 weeks ago
We are seeking an experienced Trade Surveillance professional to join our Compliance team. The ideal candidate will have a deep understanding of trading activities across asset classes and experience with surveillance systems and regulatory requirements. The role involves monitoring, reviewing, and investigating trading activity to detect and escalate potentially suspicious or non-compliant behavior.- Monitor trade activity across various asset classes (Equities, Fixed Income, FX, Derivatives) to identify potential market abuse, insider trading, front-running, layering/spoofing, and other forms of misconduct. - Conduct daily and periodic reviews using automated surveillance systems (e.g., SMARTS, Actimize, NICE, Scila, or similar platforms). - Investigate and escalate potential issues, documenting findings and conclusions in a clear, concise manner. - Develop and enhance surveillance scenarios, logic, and alerts based on evolving regulatory standards and business practices. - Collaborate with Compliance, Legal, Risk, and Business teams to understand trading strategies and business operations. - Prepare reports for senior management and regulators, as needed. - Participate in internal and external audits and regulatory inquiries. - Stay current with relevant regulatory developments (e.g., SEC, FINRA, FCA, ESMA, MAS). - Assist in training junior team members and cross-functional teams on surveillance concepts and procedures.Experience : 5-10 yrs
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Trade Surveillance Expert
4 weeks ago
New Delhi, India IndiHire Full timeRoles and Responsibilities- Develop team programs that support the organization’s business strategy Ensure financial compliance with Organization’s policies and procedures and applicable legal rules and banking regulations. - Identifies and recommends potential solutions that monitor, detect or prevent money laundering or terrorist finance activity · -...
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Trade Surveillance Expert
3 weeks ago
New Delhi, India IndiHire Full timeRoles and Responsibilities Develop team programs that support the organization’s business strategy Ensure financial compliance with Organization’s policies and procedures and applicable legal rules and banking regulations. Identifies and recommends potential solutions that monitor, detect or prevent money laundering or terrorist finance activity · The...
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Sr. Specialist
4 weeks ago
New Delhi, India Mindsprint Full timeJob Title: Sr Specialist, Trade SurveillanceDepartment:Market ComplianceAbout the Role We are seeking an experienced and detail-oriented Trade Surveillance Manager to join our dynamic Compliance team. This role is responsible for overseeing the surveillance of our client’s commodity derivatives trading activities to detect and prevent market abuse. The...
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Manager - Surveillance [T500-20111]
1 week ago
New Delhi, India MUFG Full timeAbout Us: MUFG Bank, Ltd. is Japan’s premier bank, with a global network spanning in more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. MUFG Bank’s parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the...
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Senior Analyst
10 hours ago
New Delhi, India MUFG Full timeAbout Us: MUFG Bank, Ltd. is Japan’s premier bank, with a global network spanning in more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. MUFG Bank’s parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the...
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Deputy Manager
5 days ago
New Delhi, India Kotak Securities Full timeEntity : Kotak Institutional Equities - Kotak Securities LimitedAbout the CompanyKotak Institutional Equities (KIE), a division of Kotak Securities – the broking arm of the Kotak Mahindra Group, is among India's leading institutional brokers. KIE is the preferred India broker for hundreds of institutional clients across the world including many sovereign...
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Deputy Manager
1 week ago
New Delhi, India Kotak Securities Full timeEntity : Kotak Institutional Equities - Kotak Securities LimitedAbout the CompanyKotak Institutional Equities (KIE), a division of Kotak Securities – the broking arm of the Kotak Mahindra Group, is among India's leading institutional brokers. KIE is the preferred India broker for hundreds of institutional clients across the world including many sovereign...
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Senior Analyst
2 weeks ago
New Delhi, India MUFG Full timeAbout Us:MUFG Bank, Ltd. is Japan’s premier bank, with a global network spanning in more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. MUFG Bank’s parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the...
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Senior Analyst
5 days ago
New Delhi, India MUFG Full timeAbout Us: MUFG Bank, Ltd. is Japan’s premier bank, with a global network spanning in more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. MUFG Bank’s parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the...
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New Delhi, India Acuity Knowledge Partners Full timeHiring for Associate/Senior Associate/ Delivery Lead- Email Surveillance expertise candidates.WFO/ UK shiftJob Purpose:• This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting investigations and administration of all aspects of electronic communication (e-comm) surveillance and mitigate risks that...
