Compliance Manager

1 week ago

navi mumbai, India ICICIdirect Full time

About Team:

Trading and AML Surveillance team is responsible for the design, implementation, and oversight for a suite of surveillance designed to detect behaviors that may violate regulatory rules (AML & Trading related) or internal policies and procedures. When potentially anomalous behaviour is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defence to determine the appropriate resolution of the matter.

The candidate will be responsible for analysis of Trade Surveillance and AML alerts on a post-trade basis and escalation and closure of day-to-day exception reports.


Key Responsibilities

  • Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews.
  • Improving surveillance tools and applications by coordinating with technology on the timely implementation of enhancements and proactively addressing potential issues.
  • Gathering, reviewing, investigating and analyzing trade data as well as responding to regulatory inquiries from each of the major regulatory bodies (e.g. SEBI /NSE/BSE/MCX, FIU, other enforcement agencies). The response process includes compiling all requested documentation, analyzing the results to identify potential issues, escalating potential risk issues to the appropriate coverage areas and providing input on potential corrective action plans designed to address issues that are identified.
  • Coordinating with Exchanges on trade surveillance and FIU on and AML Surveillance related matters.
  • Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.
  • Performs basic, preliminary surveillance for trading in specified products
  • Monitoring trading activity in markets to detect anomalies by reviewing electronically generated alerts
  • Conduct analysis to identify potential risks for the Firm and escalate relevant matters to a designated senior as appropriate
  • Perform historical research and review of alert trends and exceptions reported
  • Identify improvement areas and opportunities for automation
  • Keep abreast of trading system updates and products to implement effective surveillance oversight.
  • Stay informed of global regulatory and market structure changes that may affect the scope of existing surveillance program


Experience Required :

  • 3-8 Years of Relevant experience in similar Industry


Technical Requirements:

  • Experience in Exchange & Trade surveillance and regulatory framework
  • Understanding of trade products (intermediate/ expert knowledge) Understanding of trade life cycle (intermediate/ expert knowledge) Understanding of market abuse and fraud practices in trade products
  • Experience of working on Trackwizz or similar Trade surveillance system is an advantage.
  • Experience of undertaking trade alerts review, investigations and disposition
  • Experience in AML related operations including KYC / due diligence / screening / transaction monitoring is added preference


Other skills:

  • The candidate must be proactive, possess strong communication (verbal and written) skills and analytical skills.
  • Strong working knowledge with MS Excel, MS Word and Macros / Visual Basic
  • Be self-directed, with the ability to proactively identify and analyze problems
  • Have good organization skills with the ability to work towards and meet deadlines
  • The candidate must be detail-oriented, organized and assertive
  • Exchanges / Institutional experience desired


Knowledge Required:


  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects
  • Excellent research and analytical skills in addition to a technical aptitude
  • Must be a self-starter, flexible, innovative and adaptive
  • Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • The candidate should be adaptable to change and willing to work in a fast-paced environment with a positive attitude

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