![Callisto talent solutions](https://media.trabajo.org/img/noimg.jpg)
Associate - Trade Surveillance
3 weeks ago
Our client is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.
**Key Responsibilities**:
- Identify and escalate sales & trading activity that appears counter to regulatory guidelines and/or Firm’s policies.
- Reviewing internal policy breaches daily, investigate, educate, and escalate as necessary.
- Trend and identify repeat behaviours and establish a process to address recurrence.
- Reviewing electronic communications and escalating where these are not in line with internal policies.
- Create management reports to highlight issues, trends, new regulatory changes etc.
- Support BU projects to create, enhance or develop procedures/protocols.
- Engaging with other regional RCG teams to focus on and deliver increased automation and standardization across applicable surveillance processes.
- Engaging with Sales and Trading contacts and other stakeholders to build awareness of Non-Market Risk and RCG’s continued focus on proactive and effective surveillance and supervision.
**Qualifications**:
- Chartered Accountant or MBA
- 1-3 years with a background in Compliance, Risk Management, Trade surveillance and / or Trading Support focusing on sales and trading issues.
- Exceptional organizational skills and high degree of attention to detail
- Knowledge of Equities markets, understanding of applicable regulatory rules and regulations
**Salary**: ₹700,000.00 - ₹1,000,000.00 per year
Schedule:
- Day shift
- Monday to Friday
- Morning shift
Supplemental pay types:
- Commission pay
- Joining bonus
- Overtime pay
- Performance bonus
- Shift allowance
- Yearly bonus
Ability to commute/relocate:
- Mumbai Suburban, Maharashtra: Reliably commute or planning to relocate before starting work (required)
**Experience**:
- Trade surveillance: 1 year (preferred)
- Equity knowledge: 1 year (preferred)
- Operational risk management: 1 year (preferred)
**Speak with the employer**
+91 7738874798
-
Surveillance
3 weeks ago
Mumbai, India Kaapro Management Solutions Full timeOpening: 1 Nos.- Job ID: 62107- Employment Type: Full Time- Reference: - Work Experience: 3.0 Year(s) To 7.0 Year(s)- CTC Salary: 4.00 LPA TO 5.00 LPA- Function: Other- Industry: Banking/Financial Services- Location: - Mumbai Posted On: 13th Jun, 2023 **- Review and analyses **trade surveillance** reports/ alerts, and sign off alert completion related to...
-
Surveillance
2 months ago
Mumbai, India Pplanet HR Services Full time**- Review and analyses **trade surveillance** reports/ alerts, and sign off alert completion related to client trading activities - Investigation on irregularities and abnormal activities in trading pattern of client. - Drafting Suspicious Activity Reports-NSE, BSE and FIU (Financial Intelligence Unit) in line with Compliance regulations. - Analysis on...
-
Associate Manager
20 hours ago
Mumbai, India Upstox Full timeLocation:MumbaiJob Description Summary:Surveillance and AML team is responsible for the design, implementation, and oversight for a suite of surveillance designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and...
-
Associate Manager
2 months ago
mumbai, India Upstox Full timeLocation: Mumbai Job Description Summary: Surveillance and AML team is responsible for the design, implementation, and oversight for a suite of surveillance designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating...
-
Associate Manager
2 months ago
Mumbai, India Upstox Full timeLocation: Mumbai Job Description Summary: Surveillance and AML team is responsible for the design, implementation, and oversight for a suite of surveillance designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the...
-
Compliance Manager
1 week ago
Navi Mumbai, India ICICIdirect Full timeAbout 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...
-
Surveillance
2 weeks ago
Mumbai, Maharashtra, India National Securities Depository Full timeRoleAssistant Manager - Surveillance QualificationCA/ICWA/CS/CFA/MBA or equivalent post graduate qualification from reputed/recognised institutes/ universities. - LocationMumbai Experience3+yrs of experience - Monitor of shareholding limits for listed MIIs (Stock Exchanges & Depository). - Monitoring of Debt Investment by Foreign Portfolio Investors. -...
-
Compliance Manager
2 weeks ago
Navi Mumbai, India ICICIdirect Full timeAbout 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...
-
Compliance Manager
2 weeks ago
navi mumbai, India ICICIdirect Full timeAbout 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...
-
Compliance Manager
2 weeks ago
Navi Mumbai, India ICICIdirect Full timeAbout 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...
-
Associate Level 1/senior Associate-focs Trade
3 weeks ago
Mumbai, Maharashtra, India BNP Paribas Full timeAbout BNP Paribas India Solutions: Established in 2005, BNP Paribas India Solutions is a wholly owned subsidiary of BNP Paribas SA, European Union’s leading bank with an international reach. With delivery centers located in Bengaluru, Chennai and Mumbai, we are a 24x7 global delivery center. India Solutions services three business lines: Corporate and...
-
Compliance Surveillance Intermediate Analyst
1 month ago
Mumbai, India Citi Full timeServes 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...
-
Compliance Surveillance Intermediate Analyst
1 week ago
Mumbai, Maharashtra, India Citi Full timeServes 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...
-
Compliance Surveillance Intermediate Analyst
1 month ago
mumbai, India Citi Full timeServes 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...
-
Business Supervisory
2 weeks ago
Mumbai, Maharashtra, India Deutsche Bank Full time**Business Supervisory - Surveillance and BSO Data/Admin support**: **Job ID**:R0327937**Full/Part-Time**:Full-time**Regular/Temporary**:Regular**Listed**:2024-05-17**Location**:Mumbai**Position Overview**: **Job Title: Business Supervisory - Surveillance and BSO Data/Admin support Analyst/Associate** **Location: Bangalore** **Role...
-
Compliance Surveillance Intermediate Analyst
20 hours ago
Mumbai, India 12542 Citicorp Services India Private Limited Full timeServes 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...
-
Compliance Surveillance Intermediate Analyst
2 days ago
mumbai, India 12542 Citicorp Services India Private Limited Full timeServes 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...
-
Compliance Surveillance Intermediate Analyst
2 days ago
Mumbai, India 12542 Citicorp Services India Private Limited Full timeServes 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...
-
Mumbai, Maharashtra, India BNP Paribas Full timeAbout BNP Paribas India Solutions:Established in 2005, BNP Paribas India Solutions is a wholly owned subsidiary of BNP Paribas SA, European Union's leading bank with an international reach. With delivery centers located in Bengaluru, Chennai and Mumbai, we are a 24x7 global delivery center.India Solutions services three business lines: Corporate and...
-
▷ Apply Now: Compliance Manager
3 days ago
Navi Mumbai, India ICICIdirect Full timeAbout 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...