Analyst/Assistant Manager - Trade Surveillance & Quality Assurance

Asst Manager-(Trade Surveillance)

Job Title : Trade Surveillance & Quality Assurance- ( Analyst / Asst Manager )

Work Location : Mumbai

Job Description :

- To identify & escalate possible market manipulation and possible market abuses being conducted via Company trading activities in the respective markets.

- Daily analysis & investigation of alerts generated by an Automated Trade Surveillance solution, across Equities, Fixed Income, FX and Derivatives covering Market Abuse and Insider Dealing behaviors for allocated jurisdictions.

- Investigate in depth matters identified with a minimum level of supervision to determine whether violations of exchange rules or trade behavior warrant escalation to country Markets Compliance for appropriate action

- Produce surveillance reports and analysis within the standard turnaround time with proper documentation and reporting of findings of alerts investigations, follow-ups and escalations.

- Provide all relevant details to the Sub-Team Leads, Functional Head or the COE Head for any calls and discussions with Country Markets Compliance Officers around issues or concerns.

- Provide updates and keep the Sub-Team Leads & Functional Head informed on the country's oversight of the surveillance function for timely resolution of surveillance issues or exceptions

- Assist in the periodic review of surveillance program or process to address control and risk areas

- Proactively monitor market news to gather appropriate knowledge on market and regulatory developments affecting surveillance of ones respective market coverage

- Experience working within the financial industry especially in securities dealing/brokering, is highly desired.

- Should have a strong interest in the Equity and Debt securities markets

- At least 3-7 years work experience within Financial industry or Compliance environment

- Knowledge of financial products specifically equities, fixed income, commodities and currencies, including trading mechanism and typical sales and trading flow

- Able to perform technical and fundamental analysis and carry out data mining and trend analysis

- Able to work as a team member or independently as required.

Arvind
Pylon Management Consulting Pvt Ltd.
+91-8039281665