Executive Director - Trade Surveillance Head - Corporate & Investment Banking Division

Job Title: Head of Trade Surveillance

Location: Bangalore

Role Overview:

The Head of Trade Surveillance will lead the development, execution, and oversight of the firm's trade surveillance program within the Corporate and Investment Banking division. The role requires collaboration with Compliance, Risk Management, and Trading teams to ensure adherence to regulatory requirements, identify potential risks, and maintain the integrity of market activities.

Key Responsibilities:

- Develop and implement a comprehensive trade surveillance strategy aligned with regulatory requirements and organizational goals.

- Lead the global surveillance team to monitor trading activities and detect potential market abuse, manipulation, insider trading, or other breaches.

- Oversee the daily operation of trade surveillance systems and processes, ensuring effective monitoring across asset classes (e.g., equities, fixed income, derivatives, FX).

- Manage and enhance surveillance tools, data feeds, and reporting frameworks to improve efficiency and coverage.

- Act as the primary point of contact for regulatory inquiries and audits related to trade surveillance.

- Stay updated on global regulatory developments (e.g., MiFID II, MAR, Dodd-Frank, etc.) and incorporate changes into the surveillance framework.

- Lead investigations into flagged activities, documenting findings, and escalating issues as necessary.

- Collaborate with Legal and Compliance to provide accurate reporting and address concerns effectively.

- Partner with front-office teams, Compliance, IT, and Risk to design and refine controls.

- Conduct regular training sessions for staff on market abuse risks and surveillance best practices.

Team Management:

- Recruit, mentor, and develop a high-performing surveillance team.

- Foster a culture of accountability, innovation, and continuous improvement.

Required Qualifications:

- Bachelor's degree in Finance, Economics, Business, or a related field; advanced degree or professional certifications (e.g., CFA, FRM, CAMS) preferred.

- 14+ years of experience in trade surveillance, market risk, compliance, or related fields within a Corporate and Investment Banking environment.

- In-depth knowledge of global financial markets, trading mechanisms, and regulatory frameworks.

- Proficiency with surveillance platforms (e.g., Actimize, SMARTS, NICE) and advanced analytics tools.

- Strong leadership, analytical, and communication skills.

- Proven track record in managing regulatory audits and addressing compliance risks.