Transaction Surveillance and Compliance Specialist
3 days ago
We are seeking a diligent Compliance professional to join our Global Transaction Surveillance and Forensic Testing team.
The team is responsible for the development, ongoing review, and follow-up of surveillance alerts related to equity, fixed income, and multi-asset portfolio management and trading functions globally.
Through their work, the team focuses on mitigating regulatory risk and ensuring compliance with internal policies, procedures, and regulatory requirements.
The team provides regular MI reporting to oversight committees and senior leaders. Team members may participate in forensic testing on specific focus areas which will require analysis and oral/written presentation of observations and recommendations.
Surveillance alerts and focus areas could include topics such as allocation, cross trades, and window dressing.
The successful candidate will be based in Mumbai and report into a local manager. This individual will consult and partner with Compliance colleagues in various regions including the Americas, EMEA, and APAC.
Key Responsibilities:
- Development and implementation of surveillance programs
- Ongoing review and follow-up of surveillance alerts
- Analysis and oral/written presentation of findings and recommendations
- Consultation and partnership with Compliance colleagues across regions
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