Trade Surveillance Role - Capital Markets

Trade surveillance role

Responsibilities :

- Liaising with upper management, preparing and presenting monthly reviews to senior management.

- Working closely with the Line of Business (LOB) to understand the process and managing LOB process expectations.

- Managing day to day process requirements.

- Managing employee conflict.

- Conducting employee performance discussions.

- Perform trade surveillance on restricted and watch listed securities.

- Obtain deal updates (from Investment Bankers) - when needed for watch list reviews.

- Conduct trade surveillance to monitor market abuse across asset classes (equity, fixed income and derivatives trading).

- Monitor trading activity using various exceptions based reports.

- Analyze T+1 trading data on trade surveillance platforms for potential compliance issues.

- Investigate potential compliance issues with management and document findings.

- Work with the global compliance teams to document findings.

- Analyze and organize data, identifying any trends in a timely manner.

- Maintain accurate, organized and current compliance records and documentation in a manner consistent with the department's needs.

Requirements :

Education : Post Graduate in any field

Certifications :

NCFM Certifications will be an added advantage

Experience Range :

8+ years of experience in capital markets operations with a thorough understanding of trade life cycle

Foundational Skills :

- Ability to lead a team of individual contributors

- Ability to prioritize work activity to maximize performance against agreed targets

- Experience in working with applications like SMARTS/Actimize

- Strong product knowledge in capital markets

- Working knowledge about SWAPS, Options, and other derivative products is a must

- Strong analytical, interpersonal, organizational, and time management skills

- Excel skills and attention to detail

- Strong English written and verbal communication skills

Desired Skills :

- Experience in Control Room Surveillance / Trade Surveillance / Pre-trade / Post-trade / Real Time Surveillance

Shift Timings - IST 12.30 PM to 09.30 PM

Location - Mumbai, Gujarat ,Gurgaon