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Guidehouse

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3.8

based on 613 Reviews

117 Guidehouse Jobs

Team Lead - Market Surveillance

Guidehouse

3.8

based on 613 Reviews

5-10 years

Chennai

1 vacancy

Team Lead - Market Surveillance

Guidehouse

posted 5d ago

Job Role Insights

Fixed timing

Key skills for the job

Front Office Analytical Chemistry Risk Management Compliance US Staffing CCTV Monitoring

+ 4 more

Job Description

Co-ordinate and manage the day-to-day activities of the team
Motivating, coaching, and developing the team to achieve excellence in their daily deliverables.

Ensure key SLAs of the Process are met consistently
Recognize opportunities for improvements to procedures by pro-actively offering ideas and solutions
Encouraging team input into procedures and practices - assisting them in developing their ideas.
Responsible for all pertinent Reporting.

Team Responsibilities

Conduct daily reviews and analysis of trading activity across Equity, FI and other asset classes, utilizing surveillance tools and techniques to identify potential market abuse or irregularities.
Generate and investigate alerts related to insider trading, market manipulation, and other misconduct.
Escalate suspicious activities to senior management and compliance teams, providing detailed and accurate analysis.
Regulatory Compliance:
Ensure adherence to global regulatory frameworks, including but not limited to MiFID II, MAR, Dodd-Frank, and other jurisdiction-specific rules.
Collaborate with compliance and legal teams to maintain a robust surveillance framework aligned with evolving regulations.
Surveillance Focus:
Provide specialized monitoring of trading activities, including spot, forwards, and derivatives markets.
Identify trends and behaviors that may indicate market manipulation, such as front-running or spoofing.
Cross-Asset Expertise (Beneficial):
Contribute to surveillance efforts across equities, rates, and fixed income, leveraging a multi-asset perspective to strengthen overall surveillance capability.
Stakeholder Collaboration:
Partner with front-office teams, compliance, and technology to ensure surveillance systems and methodologies are effective and up to date.
Provide insights and recommendations for process improvements and control enhancements.
Reporting and Documentation:
Prepare clear, concise, and timely reports for senior management and regulators.
Maintain meticulous records of all investigations and outcomes.

What You Will Need :

5+ years of experience in a trade surveillance role out of which 2+ years in leadership role within a bank, regulator, or similar financial institution.
Effective management and leadership skills.
Work with managers across all business unit functions to resolve risk issues as appropriate.
Delivery and monitoring of key risk/management indicators, delivery of management reporting.
Strong knowledge of market abuse behaviors and tactics, including insider trading, spoofing, layering, and other forms of manipulation.
Solid understanding of global regulatory frameworks and regulations such as MiFID II, MAR, Dodd-Frank, and others.
Expertise in surveillance is essential, with demonstrated experience monitoring Equity, FI, spot, forward, and derivatives markets.
Proficiency in understanding surveillance tools such as NICE Actimize, Trading Hub, Reuters, Bloomberg or similar platforms.
Exposure to FX, Commodities is highly advantageous.

What Would Be Nice To Have :

Experience with Microsoft Office (especially Word, PowerPoint, Access, and Excel) .
Technical and data manipulation experience with Excel (pivot tables, VLOOKUP)
Ability to communicate results of complex analytic findings to both technical and non-technical audiences.
Analytical mindset with the ability to assess complex trading behaviors and identify anomalies.
Strong written and verbal communication skills for drafting reports and engaging with stakeholders.
Proactive, detail-oriented, and capable of working under pressure in a fast-paced environment.
Team player with a collaborative approach to problem-solving.

Employment Type: Full Time, Permanent

Read full job description

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