Surveillance Specialist
5 days ago
Job Description
Job summary:
At Compliance Conduct and Operational Risk division, as a trade surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the information barrier and restricted list policies. The trade surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements.
Job Responsibilities:
- Reviewing Trade surveillance alerts and conducting analysis of trading and market activity for asset class and programs such as Equities, Information barriers, Fixed income, Futures/ Options and Asset management
- Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately
- Working with businessand compliance stakeholders to identify potential market misconduct and technical rule violations and disposition, accordingly, include through interaction with regional Surveillance teams
- Conducting alert-based reviews for potential violations of laws, rules, and regulations.
- Work along with peers, handle multiple reports, engage in result-oriented tasks in a fast-paced environment. Identifying areas for process improvement and contribute towards the same
- Additional duties as assigned & Identifying areas for process improvement and contribute towards the same
- Identify key issues, risks, trends, observations and have them highlighted to management/key stakeholders
Required qualifications, capabilities, and skills:
- Qualified graduate with minimum of 2 years of trade surveillance / product experience with exchange traded products (including equities, futures and Fixed income) and/or information barriers / Asset management
- An understanding of markets and potential market manipulative behavior and a demonstrated ability to conduct reviews relating to regional rules and regulations
- Experience with reviewing trading activity for Compliance and familiarity with securities laws and regulations for identifying potential trading violations
Preferred Qualifications, Capabilities, and Skills:
- Experience with SMARTS, Actimizeor similar Trade surveillance systems is a plus
- Experience with navigation and sourcing of information in Bloomberg/public sources
- Working Knowledge of securities markets preferred
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