Location: Hyderabad, Telangana, India

Job summary:

At Compliance Conduct and Operational Risk division, as a trade surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the information barrier and restricted list policies. The trade surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements.

Job Responsibilities:

    Reviewing Trade surveillance alerts and conducting analysis of trading and market activity for asset class and programs such as Equities, Information barriers, Fixed income, Futures/ Options and Asset management
    Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately
    Working with business and compliance stakeholders to identify potential market misconduct and technical rule violations and disposition, accordingly, include through interaction with regional Surveillance teams
    Conducting alert-based reviews for potential violations of laws, rules, and regulations.
    Additional duties as assigned & Identifying areas for process improvement and contribute towards the same
    Identify key issues, risks, trends, observations and have them highlighted to management/key stakeholders
    Work along with peers, handle multiple reports, engage in result-oriented tasks in a fast-paced environment. Identifying areas for process improvement and contribute towards the same

Required qualifications, capabilities, and skills:

    Qualified graduate with minimum of 3 years of trade surveillance / product experience with exchange traded products (including equities, futures and Fixed income) and/or information barriers / Asset management
    An understanding of markets and potential market manipulative behavior and a demonstrated ability to conduct reviews relating to regional rules and regulations 
    Experience with reviewing trading activity for Compliance and familiarity with securities laws and regulations for identifying potential trading violations

Preferred Qualifications, Capabilities, and Skills:

    Experience with SMARTS, Actimize or similar Trade surveillance systems is a plus
    Experience with navigation and sourcing of information in Bloomberg/public sources 
    Working Knowledge of securities markets preferred.

Compliance Trade Surveillance Specialist has to be committed to fulfill the regulatory obligations under the relevant laws and trading rules to detect market misconduct and to safeguard the firm against applicable risks.