Act as an SME for the team and conduct regular training session on the process related topics.
Work as the backup for the team manager by handling allocation and process related queries.
Conduct training session for the new joiners in the team and also act as a buddy to them till they get hands on with the models.
Conduct trade surveillance to monitor market abuse and market manipulation across asset classes (equity, fixed income and derivatives trading)
Perform trade surveillance for alerts for restricted and watch listed securities.
Monitor trading activity using various exceptions based reports.
Analyze T+1 trading data on trade surveillance platforms for potential compliance issues.
Investigate potential compliance issues with management and document findings.
Work with the global compliance teams to document findings and regulatory reports.
Analyze and organize data, identifying any trends in a timely manner.
Maintain accurate, organized and current compliance records and documentation in a manner consistent with the department’s needs.
Work with global teams to reduce the ageing scenarios and maintain TAT.
Constant interaction with Line of Business compliance teams on various projects and surveillance related initiatives.

Requirements

Education

Certifications

Experience Range

6-8 years of experience in Trade Surveillance, capital markets operations with a thorough understanding of trade life cycle

Mandatory Skills

Strong product knowledge in capital markets, Understanding of Fixed income products/Derivatives and structured product
Excellent English written and verbal communication skills
Experience in Pre-trade / Post-trade / Real Time Surveillance
Strong analytical, interpersonal, organizational, and time management skills
Experience with SMARTS / Actimize
Excel skills and attention to detail
Strong Team Player

Shift Timings

Location

The future you've been looking for

Assistant Manager