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Veena Naidu

Lead Consultant at Mancer Consulting

Last Login: 15 March 2021

Job Views:  
2945
Applications:  7
Recruiter Actions:  3

Job Code

697052

Assistant Manager - Trade Surveillance - Investment Bank

5 - 6 Years.Gurgaon/Gurugram
Posted 5 years ago
Posted 5 years ago

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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Posted By

user_img

Veena Naidu

Lead Consultant at Mancer Consulting

Last Login: 15 March 2021

Job Views:  
2945
Applications:  7
Recruiter Actions:  3

Job Code

697052

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