Associate/Analyst - Control Room Surveillance - Risk Management Function - Bank

- A leading global bank in Gurugram is looking for a Trade Surveillance Analyst in its Risk Management Function who can focus on securities trade monitoring, surveillance and reporting. 

- He/She will have to conduct daily monitoring of employee trade activities, policy exceptions and resolutions, manage broker account request/cease letters regarding duplicate confirms and statements and conduct insider trade surveillance for their trading business.

- An understanding of US securities trading businesses

- Prior experience in performing Personal Account Dealing / Insider Trade Surveillance

- Sensitivity in communicating with employees about personal financial information

- Ability to learn/apply relevant regulatory requirements and industry best practices

- High level of engagement in the discussion about compliance policy and strategy

- Preferred candidate would have a US Series 7 qualification (or held one in the past)