Primary responsibility is to conduct independent trade surveillance supervisory reviews of the alerts already closed by 1LoD.
Support the day-to-day efforts related to assessing whether employees globally are in compliance with relevant laws, rules, regulations based on review of alerts closed by 1LoD.
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.
Requirements:
The ideal candidate must possess knowledge of and rationale for surveillance(trade/e-comms), 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.
Should be well versed with the use of Bloomberg terminal.
Should be aware of the 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.
At least 1-3 years surveillance (trade/e- comms), operations, middle office or trading experience in fixed income and currency products preferred.
