Specialist

Location Chennai(Embassy Tech- pallavaram)

Work mode WFO

Work days 5 days

Notice Pref Immediate start

Were seeking a future team member for the role of Specialist, Compliance & Control II (SP2) to join Communication Surveillance team within India Core Compliance.

In this role, youll make an impact in the following ways:

• Review of Electronic communications, conduct initial analysis and identifying any irregularities or discrepancies as part of the review process and investigating and escalating activity as appropriate.
• Support the day-to-day efforts related to assessing whether employees globally are in compliance with relevant laws, rules, and regulations based on review of alerts closed by 1LoD.
• Ensuring meeting all key Performance Indicators as agreed in the SLD (Quality and TAT)
• Liaising and collaborating with IT Support, L2 Compliance, Business Partners to handle raised cases and potential changes regarding surveillance software and systems.
• Bringing in additional controls, if required, to improve the quality of deliverables.
• Identification of risk and communicating the same with internal management and business partners.
• Maintaining and updating process related documents on regular basis.
• Ensuring the completion of Mandatory training modules as per the agreed timelines.
• Challenge 1LoD, whenever evidence or rationale of closed alerts is insufficient.
• Escalate issues to appropriate stakeholders and track through closure.
• Document the reviews and outcomes to ensure complete and accurate audit trail.

To be successful in this role, were seeking the following:

• At least 1 to 3 years Surveillance (Ecomms / Trade), operations, middle office or trading experience in fixed income and currency products.
• Candidate must possess knowledge of and rationale for surveillance (Ecomms & Trade), asset classes surveilled, and applications used for the same.
• Must have good understanding of market abuse, types of market abuse, insider trading, wash trading, front running, how to identify the same across various asset classes and use this discretion while closing the alerts.
• Understanding about the use of Bloomberg terminal preferred.
• Should have an understanding about Financial Services Industry, the regulatory landscape, with a specific focus on fixed income and foreign exchange surveillance in addition to equities.
• A solid understanding of capital market instruments etc. and knowledge of compliance concepts.
• Must have good oral and written communication skills in English. An ability to understand compliance policies and process assigned tasks in accordance with procedures would be expected.
• Bachelors degree in Finance, preferred.