Analyst, Testing and Surveillance

Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is...

Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is...

Over the last 20 years, Ares' success has been driven by our people and our culture. Today, our team is guided by our core values – Collaborative, Responsible, Entrepreneurial, Self-Aware, Trustworthy – and our purpose to be a catalyst for shared prosperity and a better future. Through our recruitment, career development and employee-focused programming,...

IndiaCompliance, RiskGroup FunctionsJob Reference #328860BRCityMumbai, PuneJob TypeFull TimeYour roleDo you like financial markets?Are you good at handling and interpreting large data sets?Are you analytical and enjoy investigating financial transactions, understanding trading strategies and making sense of the unusual trading activity?Are you able to think...

Dear Candidate,GreetingsKindly find the Job Description for the Online Surveillance.Role and Responsibilities:Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions (Equity, F&O, Currency, SLBM, IRF, Commodity).Supervise routine activities as per defined SOP and TAT.Verification of surveillance alerts such as...

Responsibilities : The role has regional responsibility and will involve: Assist in the monitoring and surveillance of cashiering transactions by IBKR clients in the Asia Pacific region; with a specific focus on transactions for IBHK and IBSG. Communicate with clients on monitoring and surveillance-related matters. Reviewing and providing suggestions to...

**Position** **Location** **Qualification** **Age Limit** **Officer - Surveillance** - Mumbai - Graduate - Up to 25 Years **Qualification & Experience**: - Minimum 1-2 years in surveillance functions in Stock Exchanges, Brokerage Houses - Conversant with Depository operations - Good communication skills. - Proficient in Microsoft Excel, Word **Skill...

IndiaComplianceGroup FunctionsJob Reference #328476BRCityMumbaiJob TypeFull TimeYour roleDo you want to keep criminals from abusing the financial system? Are you someone who likes to do the right thing? Do you know how to maintain independence and objectivity? We are looking for someone like that who can:research entities and/or individuals using both...

Job Purpose:To provide strategic leadership and oversight of the organization's surveillance function, ensuring effective detection, investigation, and prevention of market abuse or misconduct. To safeguard regulatory compliance and uphold market integrity through robust monitoring systems, policies, and cross-functional...

The Junior Surveillance Analyst will assist in monitoring client transactions, handling surveillance alerts, and ensuring adherence to regulatory and internal compliance standards. The role involves supporting the client screening process, managing alerts from CDSL and internal systems, coordinating with stakeholders for timely closure, and maintaining...