Senior Analyst - Compliance - BFSI

- We are seeking a senior analyst to work closely with a team of attorneys and compliance professionals to help ensure that the firm's business activities are conducted in strict accordance with regulatory requirements. This position affords the opportunity for broad exposure to the firm's trading, operations, and software development groups, as well as the chance to handle real-time issues related to the firm's expanding suite of global investment products in a fast-paced, constantly evolving regulatory environment.

WHAT YOU'LL DO DAY-TO-DAY:

- In this role, you'll conduct investigation on various trade surveillance activities such as Trade allocations/sequencing, Market abuse practices, trade violations, and Market Surveillances majorly involving methods of Front running, Price Ramping, Wash trades, Market price manipulation, cross market surveillances etc. and appropriately establish sufficient risk controls in each of these models

- You'll monitor human trading for potential trading while in possession of material non-public information. You'll also monitor emails using lexical analysis to identify potential market abuse or violations of policy. Additionally, you'll conduct a thorough analysis on the fundamental research data collected by the trading groups through their interactions with external industry experts/consultants around various market sectors to avoid potential trading while in possession of material non-public information.

- You'll review reports relating to trading activities to assist the firm in meeting its regulator obligations. You'll also be implementing and enforcing policies and procedures, such as the firm's Code of Ethics policies and Proxy Processes.

- You'll assist in filing regulatory obligations which require complex quantitative and qualitative analysis of the firm's data. You'll work on long-term projects with development and analytics teams to maintain the firm's high standards of compliance with new and existing regulations. Additionally, you'll work closely with members of Compliance across different offices to discuss the implementation of policies and procedures for underlying processes.

WHO WE'RE LOOKING FOR:

- The candidate should have a master's degree in finance, along with three to five years of work experience in the financial services industry

- Candidate should be self-motivated, with a result-oriented mindset, robust analytical and problem-solving skills, the ability to learn quickly, high attention to detail, and the capacity to meet tight deadlines

- The ideal candidate should have excellent written and oral communication skills along with exceptional interpersonal skills

- The candidate should have an understanding of securities regulations and financial instruments

- Candidates with relevant experience who are looking to restart their careers after a break are encouraged to apply for this position.