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Front office conduct surveillance _ Mumbai
2 weeks ago
Role & responsibilities
The number of surveillance models that are being deployed for FOCS is expanding at a very fast pace. This expansion is being driven by new regulations and by an increase in the recommendations that are the output of internal and external audits and regulatory visits. This expansion will also increase the alert population and surveillance coverage and will require additional staff to investigate each occurrence to determine whether there is sufficient reason to generate a suspicious activity report.
- Review analyses and investigate market abuse trading activity generated by an automated monitoring system AT LEVEL 1 in accordance with relevant review process as defined in the operating guidelines.
- Obtain and upload analysis results and relevant material for record keeping purposes and conclude the alerts with the indicative target timelines without compromising the quality and completeness of the analysis
- As necessary, use available research tools (e.g. Bloomberg, Reuters) to identify publicly available information concerning transactions to be identified for further investigation
- Escalate suspicious trading activity deserving of further investigation to On shore MIS and reporting of daily activities on timely manner
Contributing Responsibilities
- Obtain and upload alert analysis results and relevant material for record keeping purposes and conclude the alerts with the indicative target timelines without compromising the quality and completeness of the analysis
- Ensure escalation of alerts to Level 2 Investigator is proper, in a timely manner and supported by relevant information and due diligence search results
- Comply with procedure and other relevant policies/ procedures and regulations, and industry best practice
- Collaborate and work in tandem with team members and relevant stakeholders
- Be supportive and adoptive to changes of procedures and scope of work
Meet the QA requirements and the expected daily alert closure volume
- At least 2 years experience in banking /financial industry
- A good understanding of capital markets
- Familiar with Market Abuse types
- Good communication skills and eager to learn
- Analytical and with an investigative eye for accurate details and red-flag situations
- Ability to work in a team as well as independently
- Ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes
Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem-solving and an ability to work in a fast-paced, rapidly changing environment
Preferred candidate profile
- Capital Markets Certifications
Bachelors degree or higher, in some type of investment banking discipline
