Senior Compliance Officer

6 days ago

Gandhinagar, Gujarat, India beBeeTrade Full time ₹ 6,00,000 - ₹ 8,00,000
Job Description

As a senior professional, you will be part of the Enterprise Independent Testing (EIT) Trade Surveillance group supporting one of the global regions. Your responsibility will be to monitor trading activities across multiple asset classes for market abuse and manipulation.

  • Act as an SME for the team and conduct regular training sessions on process-related topics.
  • Work as a backup for the team manager by handling allocation and process-related queries.
  • Conduct training sessions for new joiners in the trade surveillance team and serve as a buddy until they gain hands-on experience with models.
  • Monitor market abuse and manipulation across asset classes, including equity, fixed income, and derivatives trading.
  • Perform trade surveillance for alerts related to restricted and watch-listed securities.
  • Use various exceptions-based reports to monitor trading activity.
  • Analyze T+1 trading data on trade surveillance platforms for potential compliance issues.
  • Investigate potential compliance issues with management and document findings.
  • Collaborate with the global compliance teams to document findings and regulatory reports.
  • Analyze and organize data to identify trends in a timely manner.
  • Maintain accurate, organized, and current compliance records and documentation in line with departmental needs.
Required Skills and Qualifications

To succeed in this role, you will require:

  • 7-12 years of experience in trade surveillance, capital markets operations, or a related field.
  • Strong product knowledge in capital markets, including a thorough understanding of fixed-income products and derivatives.
  • Excellent written and verbal communication skills in English.
  • Experience in pre-trade/post-trade/real-time surveillance systems.
  • Strong analytical, interpersonal, organizational, and time management skills.
  • Proficiency in Excel and attention to detail.
  • A strong team player mentality.

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