Compliance Surveillance Analyst

As a Compliance Surveillance Analyst at our company, your role involves overseeing the Firm's surveillance and monitoring program in a second-line capacity, while also offering regulatory guidance. Your primary objective is to deliver strong, risk-adjusted returns through a suite of traditional and alternative credit strategies based on intensive fundamental research and credit analysis. **Key Responsibilities:** - Conduct trade surveillance against core regulatory requirements. - Perform Best Execution (sample based surveillance) across all asset classes. - Conduct Allocation (sample based reviews) across all asset classes. - Review Cross trading (process and price discovery) across all asset classes (excluding FX). - Check data sites for Private and Public designations. - Review Expert Network transcripts for potential dissemination of MNPI. - Verify Gifts & Hospitality declarations against claimed expenses for complete disclosure. - Conduct ad-hoc Monitoring thematic reviews on key risk areas, comparing Firm policies and practices with regulatory expectations. **Technology And Tools:** - Utilize compliance surveillance tools and technologies to enhance monitoring capabilities. - Stay updated on emerging technologies and industry trends in compliance surveillance. **Collaboration And Communication:** - Collaborate closely with Compliance, portfolio managers, and traders to execute assigned surveillance tasks effectively. **Qualifications and Experience:** - Good understanding of financial markets, asset management, and investment strategies. - Ideally 2-3 years of relevant experience in asset management surveillance with a UK or US based investment manager. - Experience in compliance surveillance, risk management, or related areas within the asset management industry. - Proficiency in data analysis and the use of compliance surveillance tools. - Excellent analytical skills and attention to detail. - Ability to work independently, prioritize tasks, and meet deadlines in a fast-paced environment. - Strong ethical standards and integrity in handling confidential and sensitive information. (Note: No additional details about the company were provided in the job description.) Job Level: Individual Contributor Work Shift Timings: 2:00 PM - 11:00 PM IST,