Manager/Senior Manager - Trade Surveillance - BFSI

Manager/Senior Manager - Trade Surveillance

- Supervising the review of sales and trading exception reports for quality assurance on a periodic basis and maintaining records relating to these reviews, some examples include Best Execution, Market Manipulation, Reg. SHO etc.

- Leading offshoring efforts to migrate level one review of exception reports and entitlements processes to Mumbai

- Improving and monitoring existing control frameworks and / or creating new control frameworks if none exist

- Solving problems for the desk by effectively influencing and utilizing resources across teams outside of the Risk Management function

- Leading projects related projects related to new initiatives, report enhancements etc. and independently driving these initiatives

- Mentoring and providing guidance to RCG analysts with projects and problem solving

- Identifying opportunities for process efficiencies and implementing corresponding solutions within the team as well as teams external to RCG

- Helping ensure that IED sales and trading activities satisfy all pertinent legal, regulatory and Firm requirements

- Identifying, designing and implementing new control / exception reports to ensure that the Firm keeps pace with the evolving Regulatory environment

- Establishing relationships and work closely with IED supervisors, IED Risk Management, Technology, Operations, Finance, and Compliance.