Assistant Manager - Trade Surveillance

Process Overview:

GBAM Trade Surveillance team monitors firm's trading activity from a market abuse/market manipulation perspective. Global trade surveillance activities are designed to adhere to financial services laws, rules and regulations to determine whether key controls are operating as intended and are effective in terms of mitigating compliance risk (e.g. compliance policy, standard or procedure). Continuous surveillance of business activities is performed through automated systems (SMARTS, Actimize etc.) and filters. Surveillance is also performed through patterns and trends analysis, and manual reviews.

This team in EIT Trade surveillance will work very closely with the EIT Regional Trade Surveillance teams to conduct surveillance efforts on equity, fixed income and derivatives trading.

Job Description:

Individuals will be part of the Enterprise Independent Testing (EIT) Trade Surveillance group supporting one of the global regions US, EMEA, APR, LATAM or Canada. Individual will be responsible for monitoring trading activities across multiple asset classes for market abuse and market manipulation. The individuals will also be responsible for investigating potential compliance issues with multiple levels of management for appropriate disposition and regulatory reporting.

Responsibilities :

- Act as an SME for the team and conduct regular training session on the process related topics.

- Work as the backup for the team manager by handling allocation and process related queries.

- Conduct training session for the new joiners in the team and also act as a buddy to them till they get hands on with the models.

- Conduct trade surveillance to monitor market abuse and market manipulation across asset classes (equity, fixed income and derivatives trading)

- Perform trade surveillance for alerts for restricted and watch listed securities.

- Monitor trading activity using various exceptions based reports.

- Analyze T+1 trading data on trade surveillance platforms for potential compliance issues.

- Investigate potential compliance issues with management and document findings.

- Work with the global compliance teams to document findings and regulatory reports.

- Analyze and organize data, identifying any trends in a timely manner.

- Maintain accurate, organized and current compliance records and documentation in a manner consistent with the department's needs.

- Work with global teams to reduce the ageing scenarios and maintain TAT.

- Constant interaction with Line of Business compliance teams on various projects and surveillance related initiatives.

Requirements

Education: Post Graduate in any field

Certifications: NCFM Certifications will be an added advantage

Experience Range:

- 6-8 years of experience in Trade Surveillance, capital markets operations with a thorough understanding of trade life cycle

Mandatory Skills:

- Strong product knowledge in capital markets, Understanding of Fixed income products/Derivatives and structured product

- Excellent English written and verbal communication skills

- Experience in Pre-trade / Post-trade / Real Time Surveillance

- Strong analytical, interpersonal, organizational, and time management skills

- Experience with SMARTS / Actimize

- Excel skills and attention to detail

- Strong Team Player