
Lead Surveillance Professional
3 days ago
We are seeking a skilled and experienced surveillance professional to join our team. The ideal candidate will possess strong leadership skills, excellent analytical abilities, and in-depth knowledge of market trends and regulatory compliance.
Key Responsibilities:- Investigation and Risk Management: Supervise the investigation of alerts, suspicious trades, and breaches; ensure timely escalation to relevant authorities; identify emerging risks in trading patterns, market behavior, or operational processes; recommend preventive measures.
- Surveillance Systems Development: Develop, test, and deploy surveillance systems; create frameworks for surveillance operations; drive the selection, implementation, and enhancement of surveillance platforms, analytics tools, and AI-based monitoring systems.
- Team Leadership: Lead, mentor, and develop a surveillance team; ensure continuous skill enhancement in regulatory and analytical domains.
- Benchmarking and Process Improvement: Benchmark against global best practices; introduce process improvements and automation to enhance efficiency.
- Reporting and Stakeholder Engagement: Present periodic surveillance reports, risk dashboards, and key metrics to senior management and stakeholders.
- Policies and Procedures: Establish and periodically update surveillance policies, escalation protocols, and investigation frameworks.
- Regulatory Compliance: Ensure adherence to regulatory guidelines; liaison with regulators, interacting with market participants, and acting as the primary point of contact for regulatory queries and inspections.
- Cross-Functional Collaboration: Collaborate with Compliance, Risk, Technology, and Business teams to ensure integrated risk management and swift issue resolution.
- MBA (in finance), CA, CS, or equivalent.
- Minimum 5+ years of relevant experience.
- Knowledge of equity and derivatives markets.
- Proficiency in analysis and reporting tools.
- Understanding of exchange ecosystem and operations.
- Integrating market knowledge with technical expertise for report automation.
- Analytical thinking with detailed research proficiencies.
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