AVP Compliance Automation & Surveillance (Market Abuse)

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About the Role:

Compliance Automation and Market Abuse Surveillance

market abuse monitoring, trade surveillance systems, regulatory compliance frameworks

Key Responsibilities:

Strategic Leadership:

• Define and execute the overall strategy for

  compliance automation and surveillance

  , aligning with global regulatory standards (e.g., SEBI, FCA, MiFID II, Dodd-Frank, MAR).
• Lead cross-functional initiatives to automate manual compliance and monitoring workflows using AI/ML and advanced analytics.
  
• Act as a key liaison between compliance, technology, and trading operations to ensure system integrity and efficiency.
  

Market Abuse Surveillance:

• Oversee the end-to-end design, implementation, and enhancement of surveillance models for detecting

  insider trading, front-running, spoofing, and other market abuse behaviors

  .
• Manage multiple surveillance systems (e.g., NICE Actimize, Nasdaq SMARTS, AxiomSL, or similar platforms) and ensure timely calibration and tuning.
  
• Develop escalation and investigation frameworks for alerts, ensuring prompt and accurate case resolution.
  
• Collaborate with global compliance and regulatory teams to align surveillance standards with changing regulations.
  

Automation & Technology Enablement:

• Drive the adoption of

  AI, NLP, and big data analytics

  for intelligent alert reduction and predictive risk identification.
• Partner with technology teams to design and implement scalable compliance tools, dashboards, and automation workflows.
  
• Evaluate and onboard new RegTech solutions that enhance efficiency and accuracy in monitoring.
  
• Define and manage data governance and quality standards for compliance systems.
  

Governance, Risk & Reporting:

• Establish strong governance frameworks and ensure regulatory readiness across surveillance systems.
  
• Review and present periodic compliance and risk reports to senior leadership and audit committees.
  
• Lead compliance testing, validation, and documentation aligned with internal audit and regulatory requirements.
  

Team Leadership:

• Lead and mentor a team of compliance professionals, data analysts, and surveillance specialists.
  
• Foster a culture of continuous improvement, innovation, and compliance awareness across functions.
  

Key Skills & Qualifications:

• 1825 years

  of experience in

  compliance, market surveillance, or regulatory technology

  within global investment banks, exchanges, or financial institutions.
• Proven expertise in

  market abuse frameworks

  ,

  trade surveillance systems

  , and

  compliance automation initiatives

  .
• Strong understanding of

  regulatory guidelines

  such as SEBI (India), MiFID II, MAR, Dodd-Frank, and global market conduct standards.
• Demonstrated experience in

  AI/ML applications in compliance

  , automation, and data-driven surveillance.
• Hands-on experience with platforms like

  Actimize, SMARTS, Behavox, AxiomSL, or similar RegTech solutions

  .
• Excellent stakeholder management and cross-functional leadership skills.
  
• Advanced degree in Finance, Technology, or related discipline (CAMS, CFA, or equivalent certification preferred).
  

Preferred Background:

• Experience leading compliance transformation programs for global capital markets.
  
• Exposure to large-scale data environments (e.g., Hadoop, AWS, Azure) and real-time monitoring tools.
  
• Prior experience working with regulators and external audit teams on compliance automation or surveillance matters.