Team Member - Trade and communication surveillance

Role & responsibilities

• Assisting team members with daily reviewing and analyzing of surveillance alerts and/or exception reports. Properly documenting the review and disposition of the exceptions with an appropriate rationale as well as escalating matters to relevant stakeholders if there are any true exceptions.
• Review of various modes of recorded communication i.e. chats, voice, CCTV etc. used by the investment team and identify any unusual activity and potential risk issues.
• Participating in periodic review of surveillance alerts to ensure optimal quality is being achieved.
• Assisting with the UAT of new system enhancements/Model reviews as appropriate.
• Assisting with the design and implementation of new surveillance alerts as well as refinement of existing ones.
• Gathering and analyzing trades data to assist in the firms response to inquiries received from Exchanges/SEBI or other regulatory bodies.
• Assisting management in their response to inquiries or requests from internal partners (e.g. Internal Audit, compliance etc.)
• Remain updated on developments and changes concerning relevant regulatory regulations.

Preferred candidate profile

• 46 years’ experience with MBA in Finance/CA/FRM
• Relevant trade surveillance experience with a broker/financial institution in business compliance or with a securities regulator. Preference will be given to candidates with relevant experience in electronic communication Surveillance.
• Basic understanding and Product knowledge across the various asset class types: Equities, Fixed Income, Derivatives.
• Prior Mutual Fund related experience/Knowledge of Bloomberg/Alteryx system would be an added advantage.
• Proficiency in the use of MS Excel, Macro Word, PowerPoint etc.
• Technical skills in Python/SQL or any programming language will be a huge plus.
• Strong Analytical skills and attention to detail
• Ability to handle multiple activities and take on additional responsibilities.