Trade Surveillance/Market Surveillance Specialist - Investment Banking/Financial Services (2-9 yrs)

Role Overview:

We are seeking a highly skilled and detail-oriented professional to join our team as a Trade Surveillance / Market Surveillance Specialist. The ideal candidate will be responsible for monitoring trading activities, detecting market abuse, ensuring regulatory compliance, and leading the surveillance function within the investment banking sector.

Key Responsibilities:

Trade & Market Surveillance:

- Conduct surveillance of trading activities across various asset classes, including equities, bonds, derivatives, and futures.

- Monitor trade transactions to identify potential instances of market abuse, insider trading, and manipulation.

- Review alerts generated by surveillance systems, investigate suspicious trading activities, and escalate concerns when necessary.

- Ensure compliance with global financial regulations and regulatory guidelines from authorities such as SEBI, FCA, SEC, and other governing bodies.

Regulatory Compliance & Reporting:

- Stay updated with evolving regulatory requirements and ensure adherence to market conduct rules and best practices.

- Collaborate with compliance, legal, and risk management teams to enhance surveillance controls.

- Prepare and submit regulatory reports, ensuring accuracy and timely delivery.

- Assist in regulatory audits, investigations, and reviews by providing necessary trade data and reports.

System Enhancements & Process Improvement:

- Work with technology teams to refine and enhance surveillance tools and methodologies.

- Identify gaps in current surveillance processes and recommend improvements for efficiency and effectiveness.

- Conduct back-testing and calibration of trade surveillance scenarios to optimize detection capabilities.

Stakeholder Collaboration:

- Engage with front office, middle office, and risk teams to develop a robust monitoring framework.

- Provide guidance and training on trade surveillance policies and procedures to relevant stakeholders.

- Foster a culture of compliance and ethical trading practices within the organization.

Required Skills & Qualifications:

- 2+ years of experience in trade/market surveillance, compliance, or regulatory oversight within investment banking or financial services.

- Strong understanding of trading systems, asset classes, and financial products (equities, bonds, derivatives, debentures, loans, futures, etc.).

- Familiarity with surveillance tools and monitoring systems used for trade and market surveillance.

- Knowledge of global regulations related to financial markets, including SEBI, FCA, SEC, and MiFID II.

- Strong analytical, investigative, and problem-solving skills with keen attention to detail.

- Ability to handle large sets of trade data and perform trend analysis to detect irregularities.

- Excellent communication and reporting skills with the ability to present findings to senior management.

- Proficiency in Excel, SQL, and data visualization tools is a plus.