Trade Surveillance Expert
4 weeks ago
Roles 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 candidate will operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and culture. Ability to work independently and accurately prioritize workload with minimal supervision Functional: · Analytical skills and solid financial expertise are paramount o Well versed with various asset classes like Equity, derivatives, Fixed Income. The candidate must be ready to cope with a significant workload of alerts to review every day. Promptly undertake Trade surveillance using the firm's surveillance tools like SMARTS. Review alerts under various models but not limited to Insider dealing, Ramping, Layering, Spoofing, Wash etc. Promptly investigate and clearly highlight suspicious trades arising from the surveillance activities, involving advisory compliance officers as required. Requirements 4 years of relevant experience in Trade Surveillance & Compliance Bachelor’s degree or equivalent work experience required. Must have a proven experience in a Trade Surveillance role using SMARTS / Actimize Trade Surveillance tool. Knowledge of Risk, Compliance and Controls Having experience in both Trade surveillance and Communication Surveillance will be an added advantage. Good analytical skills with high attention to detail and accuracy Excellent verbal, written, and interpersonal communication skills. Ability to interact with all levels of an organization Strong organizational, multi-tasking, and prioritizing skills. Ability to execute in a fast paced, high demand, environment while balancing multiple priorities. Ability to articulate complex concepts in a clear manner Solid critical thinking, problem solving and decision-making skills. Ability to develop partnerships and collaborate with other business and functional areas. Ability to work effectively in a team environment and across all organizational levels, where f flexibility, collaboration, and adaptability are important. Ability to identify risks and propose mitigation plans Advanced Microsoft Office skills Specific expertise in interacting and working with large processing / operations teams and in managing an on-shore / off-shore operating model. French speaking will be added advantage, as many traders and sales will be in French.
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