Role: The candidate will be responsible for analysis of trade surveillance alerts on a post-trade basis and escalation of day-to-day exception reports. The candidate will work closely with the client teamsand may be expected to interact with employees across levelsfrom multiple geographiesto understand and resolve issues related to market manipulations and compliance violations.
Key Responsibilities
- Performs basic, preliminary surveillance for trading in specified products
- Monitoring trading activity in markets to detect anomalies by reviewing electronically generated alerts
- Conduct analysis to identify potential risks for the Firm and escalate relevant matters to a designated senior as appropriate
- Perform historical research and review of alert trends and exceptions reported
- Identify improvement areas and opportunities for automation
- Keep abreast of trading system updates and products to implement effective surveillance oversight
- Stay informed of global regulatory and market structure changes that may affect the scope of existing surveillance program
Overall experience: 2+ years
Relevant experience: minimum 1+ years
Jo Levels: Analyst/ Associate Consultant/ Consultant
Technical Requirements:
- Understanding of trade products (intermediate/ expert knowledge)
- Understanding of trade life cycle (intermediate/ expert knowledge)
- Understanding of market abuse and fraud practices in trade products
- Experience of working on SMARTS or similar Trade surveillance system is an advantage.
- Experience of undertaking trade alerts review, investigations and disposition
- Experience in AML related operations including KYC/ due diligence/ screening/ transaction monitoring is added preference
Other skills:
- The candidate must be proactive, possess strong communication (verbal and written) skills and analytical skills.
- Strong working knowledge with MS Excel, MS Word and Macros/Visual Basic
- Be self-directed, with the ability to proactively identify and analyze problems
- Have good organization skills with the ability to work towards and meet deadlines
- The candidate must be detail-oriented, organized and assertive
Qualification:
- Degree in Business/Finance or related discipline with 1-4 years experience in financial services industry
Send your updated resume and following details:
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