Job Description

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. 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 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 Required qualifications, capabilities, and skills Bachelors Degree or equivalent experience Prior trade surveillance experience with minimum 8 years of overall experience 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