AVP/VP - Trade Surveillance - BFSI

One of our leading Investment banking clients in Mumbai is looking for AVP / VP role who has strong work experience in Trade Surveillance.

Designation: AVP / VP

Location : Mumbai

Mandatory Skills

- 12-15 years of experience in capital markets operations with a thorough understanding of trade life cycle

- Strong product knowledge in capital markets

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

- Ability to lead a team of individual contributors

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

- Excel skills and attention to detail

- Strong English written and verbal communication skills

Desired Skills

- Experience in Pre-trade / Post-trade / Real Time Surveillance

- Familiarity with SMARTS / ACTIMIZE / MICRO STRATEGY will be an added advantage

Shift Timings

- IST 11.30 AM to 08.30 PM

Responsibilities

- Review the alerts cleared by associates to monitor market abuse and market manipulation across asset classes (equity, fixed income and derivatives trading). Examples of Trade Surveillance models to be reviewed and monitored includes (but not limited to): Possible Insider Trading, Possible Ramping, Layering, Spoofing, Trade to Trade, Marking the close, IPO Laddering, Wash Trading, Front Running, Trading Halt & Cancelled Trade Reviews, Mark up / Down, Parking, Post Trade Cancel & Correct, TRACE Alerts for Fixed Income products, etc.

- Monitor & review 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 and regulatory reports.

- 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.

- Liaison with Regional leads and senior leadership

- Prepare and present monthly dashboards, reports and business reviews.

- Managing day to day process related requirements and employee conflict.