Compliance Surveillance Specialist
1 day ago
Job Title: Compliance Surveillance SpecialistJob Summary:We are seeking a highly skilled and detail-oriented Compliance Surveillance Specialist to join our team.Key Responsibilities:Conduct thorough investigations and analysis of electronic communications (e-comm) to identify potential breaches and mitigate risks.Work closely with stakeholders to ensure that all investigations are conducted in accordance with policies, procedures, applicable laws, and regulations.Collaborate with cross-functional teams to develop and implement effective client solutions.Manage multiple tasks independently and ensure high-quality output.Build strong relationships with clients and internal stakeholders.Stay up-to-date with regulatory developments and industry best practices related to e-comm surveillance.Communicate effectively with clients and internal stakeholders to provide timely updates and insights.Undertake ad-hoc tasks as required.Requirements:Bachelor's degree in accounting, finance, law, business management or related field.Understanding of regulatory landscape in US, UK, or APAC.Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.Understanding of regulatory bodies and regional regulators e.g., FINRA, SEC, FCA, SFC, MAS, etc.Sound Knowledge in e-comm monitoring and surveillance.Strong communication skills – written and verbal.Strong proficiency in Microsoft applications.Preferred Skills:Certification in financial market or products will be an added advantage.Ability to work collaboratively with cross-geographical teams.Display team-work orientation and ability to multi-task.Experience:1-9 years of experience in compliance, particularly in e-comm surveillance.Understanding of financial markets and financial instruments, including awareness of securities trading, trade life cycle etc.Familiarity with e-comm surveillance tools is a plus.
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Bangalore, Raheja Towers, - M. G. Road, India Deutsche Bank Full time ₹ 12,00,000 - ₹ 36,00,000 per yearJob Description:In Scope of Position based Promotions (INTERNAL only)Job Title: APAC Communication Surveillance, Regulatory Compliance - AVPLocation: Bangalore, India Corporate Title: AVPRole DescriptionIn the APAC region, Surveillance team consists of teams of analysts and compliance officers located in Hong Kong, Singapore, Manila, Tokyo, Bangalore and...
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Surveillance Manager
5 days ago
bangalore, India Systematix Shares & Stocks (I) Ltd. Full timeAbout the Company Systematix Group is a leading diversified financial services firm offering a wide range of solutions, including Investment Banking, Institutional Equities, Wealth Management, Retail Broking, and Asset Management . With 35+ years of legacy & 300+ experienced professionals, Systematix has built a strong track record of delivering value-driven...
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Bangalore, India Acuity Analytics Full timeHiring for Associate/Senior Associate/ Delivery Lead- Email Surveillance expertise candidates. WFO/ UK shift This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting investigations and administration of all aspects of electronic communication (e-comm) surveillance and mitigate risks that could arise from...
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Bangalore, India Acuity Knowledge Partners Full timeHiring for Associate/Senior Associate/ Delivery Lead- Email Surveillance expertise candidates. WFO/ UK shift Job Purpose: • This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting investigations and administration of all aspects of electronic communication (e-comm) surveillance and mitigate risks that...
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Bangalore, India Acuity Knowledge Partners Full timeHiring for Associate/Senior Associate/ Delivery Lead- Email Surveillance expertise candidates. WFO/ UK shift Job Purpose: - This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting investigations and administration of all aspects of electronic communication (e-comm) surveillance and mitigate risks that...
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Bangalore, India Acuity Analytics Full timeHiring for Associate/Senior Associate/ Delivery Lead- Email Surveillance expertise candidates. WFO/ UK shift Job Purpose: • This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting investigations and administration of all aspects of electronic communication (e-comm) surveillance and mitigate risks that...
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bangalore, India Acuity Analytics Full timeHiring for Associate/Senior Associate/ Delivery Lead- Email Surveillance expertise candidates. WFO/ UK shift Job Purpose: • This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting investigations and administration of all aspects of electronic communication (e-comm) surveillance and mitigate risks that...
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Communication Surveillance, Compliance – NCT
16 hours ago
Bangalore, Velankani Tech Park, India Deutsche Bank Full timeJob Description:In Scope of Position based Promotions (INTERNAL only) Job Title: Communication Surveillance, Compliance – NCT Location: Bangalore, IndiaRole DescriptionThe Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity, and reputation, and promoting, in partnership with the...
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Senior Surveillance Executive
20 hours ago
bangalore, India beBeeSurveillance Full timeJob OverviewWe are seeking an experienced Surveillance Manager to ensure the integrity of trading activities.The role involves monitoring stock price movements, identifying anomalies, and taking appropriate actions to maintain market transparency and fairness.Key Responsibilities:Track stock movements (price and volume) and generate alerts for significant...
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bangalore, India Acuity Knowledge Partners Full timeHiring for Associate/Senior Associate/ Delivery Lead- Email Surveillance experience candidates. WFO/ UK shift Job Purpose: • This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting investigations and administration of all aspects of electronic communication (e-comm) surveillance and mitigate risks that...
