Compliance & Trade Surveillance Manager

Reports to : Senior Manager

Job Purpose:

The incumbent will be involved in Trade Monitoring activities and also get the opportunity to participate in the wider activities of Compliance team and is expected to make contributions outside of the specific scope of their role.

The Core Compliance Surveillance Manager will have several areas of responsibility including, but not limited to, following:

- Participate in defining and documenting the operating processes for processing Monitoring models;

- Lead by example and guide junior members in the team;

- Help the senior manager in making the team and processes more efficient;

- Create Management Information Reports on a periodic basis;

- Monitor development in regulatory requirements and adjust surveillance models accordingly;

- Review and analyze trade surveillance reports and vendor surveillance system alerts, and sign off alert completion related to employee, client and firm trading activities;

- Conduct investigations on irregularities and abnormal activities and document findings; and

- Escalate unresolved issues or potential violations of the company's policies or external rules and regulations to his/her Manager, Coverage Compliance and Senior Management of Business Units.

Interaction with IT :

- Work with IT and / or vendors in developing new tools;

- Participate in Requirement drafting and User Acceptance Testing of new models/reports; and

- Assess adequacy and effectiveness of surveillance and enhance existing surveillance models.

Experience Required :

- 5+ years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;

- Excellent knowledge about equity markets; and

- Preference will be given to candidates with relevant experience in Trade Surveillance.

Skills Desired

- Pragmatic and analytical problem solving skills;

- Attention to detail;

- Excellent verbal and written English communication skills; and

- Knowledge of trade booking and settlements for Asia Pacific markets is helpful.

If you have any queries with respect to the brief kindly mail me to clarify the same. Also, send your updated resume in bellow address Kindly contact:-

- Contact Company: Pylon Management Consulting Pvt Ltd

- Email Address: sukruta@pylonmc.com