Assistant - Trade Surveillance (2-7 yrs)

Accountabilities:

- Monitoring market activities continuously, including order flows, prices, trading volumes and communications to identify potential irregularities or market misconduct.

- Conducting in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct.

- Business support in projects related to the firm's market surveillance framework.

- Regulatory query and internal/external audit support.

- Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends.

- Control environment support in relation to data quality, model effectiveness and efficiency.

Analyst Expectations:

- Will have an impact on the work of related teams within the area.

- Partner with other functions and business areas.

- Takes responsibility for end results of a team's operational processing and activities.

- Escalate breaches of policies / procedure appropriately.

- Take responsibility for embedding new policies/ procedures adopted due to risk mitigation.

- Advise and influence decision making within own area of expertise.

- Take ownership for managing risk and strengthening controls in relation to the work you own or contribute to. Deliver your work and areas of responsibility in line with relevant rules, regulation and codes of conduct.

- Maintain and continually build an understanding of how own sub-function integrates with function, alongside knowledge of the organisations products, services and processes within the function.

- Demonstrate understanding of how areas coordinate and contribute to the achievement of the objectives of the organisation sub-function.

- Make evaluative judgements based on the analysis of factual information, paying attention to detail.

- Resolve problems by identifying and selecting solutions through the application of acquired technical experience and will be guided by precedents.

- Guide and persuade team members and communicate complex / sensitive information.

- Act as contact point for stakeholders outside of the immediate function, while building a network of contacts outside team and external to the organisation.

- Conducting daily analysis of automated trade and communications surveillance alerts for global businesses

- Identify and escalate potential breaches of regulatory rules

- Active involvement in enhancing current alerts and exception reports and supporting the development of new surveillance tools, reports and procedures

- Provide feedback on the efficiency and effectiveness of surveillance controls to Surveillance Management.

- Communicate market abuse risk identified through the surveillance platform with Surveillance Management and agree clear paths to resolution.

- Engage with the Global Surveillance team to share knowledge and practices and promote a consistent approach across the surveillance teams.

Location: Pune