Team Leader/Assistant Manager - Trade Surveillance - BFSI

Information Barrier Surveillance Overview

Information Barrier Surveillance Team is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's advisory side businesses (e.g., Investment Banking and Merchant Banking) and public side businesses (e.g., Sales, Trading, Research, and Investment Management). To manage information flows and avoid any appearance that sensitive information is being abused.

Continuous surveillance of business/employee activities is performed through automated systems (like Actimize, etc.) and filters.

Job Description

Individuals will be part of the GBAM Compliance Trade Surveillance group supporting one of the global regions AMRS, EMEA and APR. Individual will be responsible for monitoring trading activities across multiple asset classes for market abuse. The individuals will also be responsible for investigating potential compliance/control room issues with multiple levels of management for appropriate disposition.

Responsibilities

- 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

Mandatory Skills

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

- 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

- Strong Team Player

- Experience in working with applications like Actimize

Desired Skills

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

- Perform trade surveillance on restricted and watch listed securities

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

Education

- Graduate/Post Graduate in any field

Shift Timings

- APR - IST 07.30 AM to 04.30 PM

- EMEA/AMRS - IST 12.30 PM to 09.30 PM

Location: Mumbai