Trade Surveillance :
- Strong product knowledge in capital markets,
- Working knowledge about SWAPS, Options, and other derivative products is a must
- Experience in working with applications like Actimize familiarity with SMARTS / ACTIMIZE / MICRO STRATEGY
Responsibilities
- Perform trade surveillance on restricted and watch listed securities
- Obtain deal updates (from Investment Bankers) - when needed for watch list reviews
- Conduct trade surveillance to monitor market abuse across asset classes (equity, fixed income and derivatives trading)
- 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.
- 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.
Requirements:
Mandatory Skills :
- 5+ years of experience in capital markets operations with a thorough understanding of trade life cycle
- Strong product knowledge in capital markets
- Working knowledge about SWAPS, Options, and other derivative products is a must
- Strong analytical, interpersonal, organizational, and time management skills
- Excel skills and attention to detail
- Strong English is written and verbal communication skills
- Strong Team Player
- Experience in working with applications like Actimize
Desired Skills :
- Experience in Control Room Surveillance / Trade Surveillance / Pre-trade / Post-trade / Real Time Surveillance
Education:
- Graduate/Post Graduate in any field
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