Hiring Trade Surveillance- Investment Compliance

Job location - Bengaluru/Pune

Job Purpose:

Trade Surveillance team is responsible for assisting the client to validating the exceptions generated in the system

The incumbent will primarily be responsible for checking the alerts/exceptions generated based on the existing modules developed by the client.

The incumbent will also be responsible for performing daily review of all exceptions and closing it out with an appropriate rationale and escalate to the client if there any true exceptions.

Associate / Senior Associate/ Delivery Lead of the Trade Surveillance team will be an expert in the process and should be able to perform the task with minimal support of senior team members

The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster.

Professionals in this role will:

Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc.

Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades.

Regularly monitor and understand current market conditions, regulations, and changes.

Have thorough understanding of the clients IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries.

Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance team.

Key Responsibilities:

Functional Responsibilities:

Working on daily exceptions

Preparing and updating the client SOPs as and when required

Identify gaps in existing process and suggest enhancements

Handle queries of junior team members and help them learn the process

Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team

Functional Competencies:

Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc.

Strong Microsoft Office knowledge is required

Experience in handling different exceptions of the Trade Surveillance modules

Sound knowledge of the Bloomberg terminal and its different screens

Key Competencies

Qualifications:

MBA - Finance / CFA, Law, or Compliance related qualification.

Capital Markets knowledge/NCFM certifications, preferred.

Experience: 3 - 8 years of experience in Trade Surveillance role

Behavioral Competencies:

Team working Client Centricity Entrepreneurial Communication Clarity of Thought Self-awareness