Senior Analyst - Trade Surveillance - EMEA Compliance

Trade Surveillance (EMEA Compliance) - Senior Analyst

Location: Bangalore, Mumbai

Experience: 3-5 years

Position: Senior Analyst

Role Overview:

We are hiring a Senior Analyst to support the EMEA Trade Surveillance function within Core Compliance. The role involves Level 1 monitoring of trading activity and communications to detect potential market abuse, misconduct, and regulatory breaches across asset classes.

Key Responsibilities:

- Review and investigate trade surveillance alerts within defined timelines; document rationale and escalate where required

- Monitor order and trading activity to identify potential insider dealing, market manipulation, and other misconduct

- Support calibration reviews of surveillance models, including threshold and parameter testing

- Identify anomalies and trends in alert generation; escalate risks proactively

- Collaborate with Level 2 teams on investigations, queries, and ad hoc analysis

- Contribute to management information (MI) and compliance reporting

- Support UAT and system enhancement initiatives

- Ensure adherence to regulatory requirements, data protection, and internal policies

Mandatory Skills & Experience:

- 3-5 years of experience in Trade Surveillance / Market Abuse / Compliance Surveillance

- Strong understanding of Market Abuse Regulation (MAR) and market conduct risks

- Hands-on experience in alert review, investigation, and escalation frameworks

- Working knowledge of trade surveillance systems such as Nasdaq SMARTS, KX, or similar

- Experience with communication surveillance tools such as Behavox, Global Relay, or equivalent

- Solid understanding of capital markets and asset classes: Equities, Fixed Income, FX, and Derivatives

- Proficiency in Bloomberg terminal and trade data analysis

- Strong analytical, problem-solving, and documentation skills

- Advanced Excel and MS Office capabilities

Educational Qualifications

- Bachelor's Degree or higher (Finance, Commerce, Economics, or related discipline preferred)