Deputy Manager - Trade & Communication Surveillance

Job Title: Deputy Manager - Trade and Communication Surveillance

Reports to: Senior Manager - Risk

Department: Risk Management Surveillance

JOB PURPOSE:

To help the organization in establishing, implementing, and overseeing various Risk Management practices and policies. To monitor a firms trading activity using surveillance applications to safeguard the firm against any reputational and/or financial risk.

JOB ROLE:

- Assisting team members with daily reviewing and analyzing of surveillance alerts and/or exception reports. Properly documenting the review and disposition of the exceptions with an appropriate rationale as well as escalating matters with relevant stakeholders if there are any true exceptions.

- Review of various modes of recorded communication, i.e. chats, voice, CCTV etc. used by the investment team and identify any unusual activity and potential risk issues.

- Participating in periodic review of surveillance alerts to ensure optimal quality is being achieved.

- Assisting with the UAT of new system enhancements/Model reviews as appropriate.

- Assisting with the design and implementation of new surveillance alerts as well as refinement of existing ones.

- Gathering and analyzing trades data to assist in the firms response to inquiries received from Exchanges/SEBI or other regulatory bodies.

- Assisting management in their response to inquiries or requests from internal partners (e.g. Internal Audit, compliance etc.)

- Remain updated on developments and changes concerning relevant regulatory regulations.

JOB REQUIREMENTS:

- Relevant trade surveillance experience with a broker/financial institution in business compliance or with a securities regulator.

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

- Basic understanding and knowledge of trading mechanisms across different financial instruments/markets and applicable market regulations.

- Product knowledge across the various asset class types: Equities, Fixed Income, Derivatives.

- Prior Mutual Fund related experience/Knowledge of Bloomberg system would be an added advantage.

EDUCATIONAL QUALIFICATION & EXPERIENCE:

- 2-3 years of relevant experience.

- MBA Finance/CA/FRM

SKILLS AND QUALITIES:

- Proficiency in the use of MS Excel, Macro Word, PowerPoint etc.

- Strong Analytical skills and attention to detail

- Ability to handle multiple activities and take on additional responsibilities

- Should be strong in verbal & written communication

- Should be timely and accurate in the job

- Should be a team player