AVP Compliance Automation

Job Title: AVP Compliance Automation & Surveillance (Market Abuse)

Location: Hyderabad / Mumbai

Experience: years

Employment Type: Full-time

Industry: Banking / Financial Services / Investment Management

About the Role:

We are seeking an accomplished professional to lead our Compliance Automation and Market Abuse Surveillance function. The ideal candidate will drive innovation in compliance technology, oversee the design and implementation of automated surveillance systems, and ensure effective detection and mitigation of market abuse risks across trading and investment activities.

This role demands a strategic leader with deep domain expertise in market abuse monitoring, trade surveillance systems, regulatory compliance frameworks, and technology automation within financial institutions.

Key Responsibilities:

Strategic Leadership:

• Define and execute the overall strategy for compliance automation and surveillance, aligning with global regulatory standards (e.g., SEBI, FCA, MiFID II, Dodd-Frank, MAR).
• Lead cross-functional initiatives to automate manual compliance and monitoring workflows using AI/ML and advanced analytics.
• Act as a key liaison between compliance, technology, and trading operations to ensure system integrity and efficiency.

Market Abuse Surveillance:

• Oversee the end-to-end design, implementation, and enhancement of surveillance models for detecting insider trading, front-running, spoofing, and other market abuse behaviors.
• Manage multiple surveillance systems (e.g., NICE Actimize, Nasdaq SMARTS, AxiomSL, or similar platforms) and ensure timely calibration and tuning.
• Develop escalation and investigation frameworks for alerts, ensuring prompt and accurate case resolution.
• Collaborate with global compliance and regulatory teams to align surveillance standards with changing regulations.

Automation & Technology Enablement:

• Drive the adoption of AI, NLP, and big data analytics for intelligent alert reduction and predictive risk identification.
• Partner with technology teams to design and implement scalable compliance tools, dashboards, and automation workflows.
• Evaluate and onboard new RegTech solutions that enhance efficiency and accuracy in monitoring.
• Define and manage data governance and quality standards for compliance systems.

Governance, Risk & Reporting:

• Establish strong governance frameworks and ensure regulatory readiness across surveillance systems.
• Review and present periodic compliance and risk reports to senior leadership and audit committees.
• Lead compliance testing, validation, and documentation aligned with internal audit and regulatory requirements.

Team Leadership:

• Lead and mentor a team of compliance professionals, data analysts, and surveillance specialists.
• Foster a culture of continuous improvement, innovation, and compliance awareness across functions.

Key Skills & Qualifications:

• 1825 years of experience in compliance, market surveillance, or regulatory technology within global investment banks, exchanges, or financial institutions.
• Proven expertise in market abuse frameworks, trade surveillance systems, and compliance automation initiatives.
• Strong understanding of regulatory guidelines such as SEBI (India), MiFID II, MAR, Dodd-Frank, and global market conduct standards.
• Demonstrated experience in AI/ML applications in compliance, automation, and data-driven surveillance.
• Hands-on experience with platforms like Actimize, SMARTS, Behavox, AxiomSL, or similar RegTech solutions.
• Excellent stakeholder management and cross-functional leadership skills.
• Advanced degree in Finance, Technology, or related discipline (CAMS, CFA, or equivalent certification preferred).

Preferred Background:

• Experience leading compliance transformation programs for global capital markets.
• Exposure to large-scale data environments (e.g., Hadoop, AWS, Azure) and real-time monitoring tools.
• Prior experience working with regulators and external audit teams on compliance automation or surveillance matters.