Associate - Trade Surveillance

3 days ago

Mumbai, India Callisto talent solutions Full time

Our client is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services.

**Key Responsibilities**:

- Identify and escalate sales & trading activity that appears counter to regulatory guidelines and/or Firm’s policies.
- Reviewing internal policy breaches daily, investigate, educate, and escalate as necessary.
- Trend and identify repeat behaviours and establish a process to address recurrence.
- Reviewing electronic communications and escalating where these are not in line with internal policies.
- Create management reports to highlight issues, trends, new regulatory changes etc.
- Support BU projects to create, enhance or develop procedures/protocols.
- Engaging with other regional RCG teams to focus on and deliver increased automation and standardization across applicable surveillance processes.
- Engaging with Sales and Trading contacts and other stakeholders to build awareness of Non-Market Risk and RCG’s continued focus on proactive and effective surveillance and supervision.

**Qualifications**:

- Chartered Accountant or MBA
- 1-3 years with a background in Compliance, Risk Management, Trade surveillance and / or Trading Support focusing on sales and trading issues.
- Exceptional organizational skills and high degree of attention to detail
- Knowledge of Equities markets, understanding of applicable regulatory rules and regulations

**Salary**: ₹700,000.00 - ₹1,000,000.00 per year

Schedule:

- Day shift
- Monday to Friday
- Morning shift

Supplemental pay types:

- Commission pay
- Joining bonus
- Overtime pay
- Performance bonus
- Shift allowance
- Yearly bonus

Ability to commute/relocate:

- Mumbai Suburban, Maharashtra: Reliably commute or planning to relocate before starting work (required)

**Experience**:

- Trade surveillance: 1 year (preferred)
- Equity knowledge: 1 year (preferred)
- Operational risk management: 1 year (preferred)

**Speak with the employer**
+91 7738874798

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