Analyst - Compiance Surveillance

Your Team

Compliance Surveillance is a sub function of Global Compliance team. Compliance Surveillance undertakes investigation of trade surveillance, trade monitoring , Best -ex, cross trading and other Surveillance activities to identify any irregularities by examining data and helps find trends and draw conclusions about the information.

Your Role

• Responsibilities would include conducting review of alerts triggered for Market Abuse modules within Surveillance tool on daily basis.
• Review of alert completion related to Portfolio manager s trading activities by researching and documenting detailed notes as to resolutions given in relevant systems.
• Review Best execution activities, meetings logs, perform ecomm surveillance to identify any potential conflict of interest.
• Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements.
• Assist with ongoing review of relevant processes and procedures to ensure best practice is followed.
• Assist in delivery of compliance related projects and initiatives including ad-hoc requirements.
• Total relevant work experience of 2-5 years required with investment advisor or mutual fund group in Compliance or regulatory environment

The Experience You Bring

• Knowledge of Financial products and Mutual fund industry
• Experience on Trade surveillance platforms & tools
• Understand of trading principals and fundamentals
• Good analytical skills and attention to detail
• Excellent interpersonal skills to work effectively with a network of colleagues spread across different time zones
• Proficiency in MS Office
• Strong written and verbal communication skills
• A positive attitude and willingness to learn
• Open to flexible working hours
• Familiarity with trading systems and compliance components such as Charles River, Bloomberg & Aladdin would be given preference.
• Knowledge of MS Power BI, Tableau would be an added advantage.

Academic requirements

• Bachelors or Masters (preferred) degree in Commerce / Finance