Team Member

JOB DESCRIPTION

JOB PURPOSE:
To help the organization in establishing, implementing, and overseeing various Risk Management practices and policies. To monitor a firm s trading activity using surveillance applications to safeguard the firm against any reputational and/or financial risk.

JOB ROLE:
Assisting team members with daily reviewing and analyzing of surveillance s 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 used by the investment team and identify any unusual activity and potential risk issues.
Participating in periodic review of surveillance s 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 s as well as refinement of existing ones.
Gathering and analyzing trades data to assist in the firm s 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.

JOB REQUIREMENTS:
2 to 3 years of 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 knowledge of trading mechanisms across different financial instruments/markets and applicable market regulations.
Product knowledge across the various asset class types: Equities, Fixed Income, Derivatives.
Prior Mutual Fund related experience/Knowledge of Bloomberg system would be an added advantage.

EDUCATIONAL QUALIFICATION & EXPERIENCE:

2-3 year experienced MBA Finance/CA/FRM S

SKILLS AND QUALITIES:

Proficiency in the use of MS Excel, Macro, Word, PowerPoint etc.

Strong Analytical skills and attention to detail

Ability to handle multiple activities and take on additional responsibilities.

Should be strong in verbal & written communication.

Should be timely and accurate in the job.

Be a team player.