32 Insider Trading Jobs

Job Title: AVP Compliance Automation & Surveillance (Market Abuse) Location: Hyderabad / Mumbai Experience: 18 - 25 years Employment Type: Full-time Industry: Banking / Financial Services / Investment Management About the Role: We are seeking an accomplished professional to lead our Compliance Automation and Market Abuse Surveillance function. The ideal candidate will drive innovation in compliance technology, oversee the design and implementation of automated surveillance systems, and ensure effective detection and mitigation of market abuse risks across trading and investment activities. This role demands a strategic leader with deep domain expertise in market abuse monitoring, trade surve...

Dear Candidate, Greetings!! Kindly find the Job Description for the Online Surveillance. Role and Responsibilities: Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions (Equity, F&O, Currency, SLBM, IRF, Commodity). Supervise routine activities as per defined SOP and TAT. Verification of surveillance alerts such as market manipulation, price / volume alerts, order spoofing, front running alerts, insider trading alerts, etc . Analyse various alerts/ exception reports on trading activities/ patterns to short-list cases which require detailed analysis/ investigation and initiate action, if warranted. Process surveillance alerts, conduct preliminary ...

Dear Candidate, Greetings!! Kindly find the Job Description for the Online Surveillance. Role and Responsibilities: Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions (Equity, F&O, Currency, SLBM, IRF, Commodity). Supervise routine activities as per defined SOP and TAT. Verification of surveillance alerts such as market manipulation, price / volume alerts, order spoofing, front running alerts, insider trading alerts, etc . Analyse various alerts/ exception reports on trading activities/ patterns to short-list cases which require detailed analysis/ investigation and initiate action, if warranted. Process surveillance alerts, conduct preliminary ...

In this role at Compliance Conduct and Operational Risk division, as a trade surveillance personnel, your primary responsibility will be to identify potential instances of market abuse, such as insider trading and market manipulation. You will utilize well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team plays a crucial role in monitoring risks across markets using the established surveillance program to protect the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Key Responsibilitie...

As a Manager/Senior Manager - Compliance in Mumbai, your role will involve: - Maintaining up-to-date knowledge of SEBI circulars and notifications relevant to depository operations. - Reviewing and drafting all Regulatory policies. - Drafting and reviewing all agenda and minutes of the Regulatory Committee meetings like PID, ROC, Board etc. - Monitoring changes in regulatory frameworks issued by SEBI, RBI, and other applicable bodies and initiating implementation. - Reviewing and ensuring maintaining accurate and up-to-date records of all regulatory correspondences and filings. - Tracking and closing audit findings related to compliance matters in a timely manner. - Preparing compliance repo...

JD Key Roles & Responsibilities Assisting for compliance with Companies Act, 2013, SEBI (LODR) Regulations / Insider Trading / Takeover Code / ICDR, filing of Disclosures, documents, returns and forms with Stock Exchanges, ROC, RBI, etc. and Debenture Trustee compliances Assisting for Board and Committee Meetings related activities: Notice, Agenda and Minutes of meetings Agenda items / notes and resolutions Summary of minutes Uploading documents on Meeting management application Actions / Follow-ups Updation of Actionable Items Reports Follow-ups with stakeholders for implementation / reporting of actionable items Assisting for Shareholder Meetings / Postal Ballot process Investor Servicing ...

As a trade surveillance personnel at Compliance Conduct and Operational Risk division, your role involves identifying potential instances of market abuse, such as insider trading and market manipulation. You will be using well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team plays a crucial role in safeguarding the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Key Responsibilities: - Review trade surveillance alerts and analyze trading and market activity for asset classes includi...

As a trade surveillance personnel in the Compliance Conduct and Operational Risk division, your role involves identifying potential instances of market abuse, particularly insider trading and market manipulation. You will utilize well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team plays a crucial role in mitigating risks across markets using established surveillance programs to safeguard the firm against reputational and financial risks, all while adhering to internal policies and regulatory requirements. Key Responsibilities: - Review trade ...

As a Compliance Analyst at Millennium Management, you will be responsible for various tasks to ensure the firm's adherence to regulatory requirements and industry standards. Your role will involve: - Conducting general electronic communications and trading surveillance reviews, focusing on identifying potential insider trading and market manipulation. - Monitoring daily surveillance reports using exception reports and other tools to detect any irregularities. - Reviewing surveillance alerts, performing analysis, and escalating findings when necessary. - Assisting in investigating and managing inadvertent receipt of material non-public information (MNPI). - Providing advice and guidance to fi...

Role Overview: You will be responsible for conducting general electronic communications and trading surveillance reviews, with a specific focus on identifying potential insider trading and market manipulation. Your role will involve investigating and resolving monitoring alerts promptly, ensuring thorough investigation of significant issues, and escalating them when necessary. Additionally, you will play a key role in driving continuous improvement of the surveillance framework, including refinement and calibration. You will contribute to the implementation of strategic projects within the department, participate in team discussions, investigations, and knowledge sharing, and assist in produ...

Tracking of Regulatory emails and ensuring revert has been provided to Exchange Insider Trading Regulation Approvals Advertisement approvals Regulatory Submissions - Exchanges and Depositories ================================================= Educational Qualifications: Graduate/Post Graduate Experience: 5 to 6 year experience in Broking firm Domain Knowledge: Broking Industry, SEBI Regulations NISM IIIA to be cleared mandatorily

At EY, you have the opportunity to craft a career that is as unique as you are, with the global scale, support, inclusive culture, and technology necessary to become the best version of yourself. Your distinctive voice and perspective are valued to help EY evolve and improve. Join us to create an exceptional experience for yourself and contribute to building a better working world for all. As a Supervising Analyst in Global Compliance, you will be responsible for executing various compliance testing processes end-to-end. This includes conducting research and analysis to identify potential non-compliance with policies, guidelines, or regulatory breaches. Additionally, you will assist in leade...

The role of Trade Surveillance Personnel at Compliance Conduct and Operational Risk division involves identifying potential instances of market abuse, specifically insider trading and market manipulation. Utilizing established surveillance systems, you will be responsible for monitoring activities in Firm and Employee accounts to ensure compliance with information barrier and restricted list policies. Your primary task will be to analyze trading and market activity for various asset classes such as Equities, Information barriers, Fixed income, Futures/Options, and Asset management. This analysis includes reviewing trade surveillance alerts and documenting exceptions while escalating relevant...

As a Trade Surveillance Analyst at Millennium Management, you will play a crucial role in ensuring compliance with regulatory requirements and maintaining the integrity of the firm's operations. You will be responsible for conducting general electronic communications and trading surveillance reviews, with a specific focus on identifying potential instances of insider trading and market manipulation. By monitoring daily surveillance reports and using various tools, you will analyze alerts, escalate findings as necessary, and assist in the investigation of material non-public information (MNPI). Your role will also involve regular interaction with the business and compliance teams to provide g...

As part of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in ensuring the strength and resilience of the firm. Your expertise is vital in facilitating responsible business growth by proactively identifying new and emerging risks. With your insightful judgment, you tackle real-world challenges that impact the company, customers, and communities. The culture within Risk Management and Compliance encourages innovative thinking, challenging the norm, and striving for excellence. Joining the Compliance Conduct and Operational Risk division as an E-Communication surveillance personnel, your primary responsibility is to detect potential instances of market abuse, such as ...

As a Compliance Analyst at Millennium Management, you will be responsible for conducting general electronic communications and trading surveillance reviews, focusing on potential insider trading and market manipulation. Your role will involve monitoring daily surveillance reports, analyzing surveillance alerts, and escalating findings as necessary. You will also assist in investigating and handling inadvertent receipt of material non-public information (MNPI). In this position, you will interact with the business and compliance teams on a daily basis, offering advice and guidance to firm personnel on compliance matters. Additionally, you will play a key role in regulatory examinations, inqui...

JD Key Roles & Responsibilities Compliance with: Companies Act, 2013 SEBI (LODR) Regulations / Insider Trading / Takeover Code / ICDR Filing of Disclosures, documents, returns and forms with Stock Exchanges, ROC, RBI, etc. Debenture Trustee compliances Board & Committee Meetings Drafting and finalising Notice, Agenda and Minutes of meetings Agenda items / notes and resolutions Summary of minutes Uploading documents on Meeting management application Actions / Follow-ups Actionable Items Reports Follow-ups with stakeholders for implementation / reporting of actionable items Shareholder Meetings / Postal Ballot Notice of General Meeting s/ Postal Ballot E-voting Process and Voting Results Minut...

You will be joining Millennium Management, a global investment management firm established in 1989 with assets under management totaling approximately $74 billion. With over 2,300 employees worldwide and offices in the United States, Europe, and Asia, our core mission over the past 25+ years has been to provide our investors with the highest quality returns in the alternative investment industry while upholding our principles of integrity, discipline, and excellence. Your responsibilities will include conducting general electronic communications and trading surveillance reviews, with a specific focus on identifying potential insider trading and market manipulation activities. You will be req...

As a trade surveillance personnel at Compliance Conduct and Operational Risk division, you will play a crucial role in identifying potential instances of market abuse, specifically insider trading and market manipulation. Your responsibilities will include utilizing well-known surveillance systems to monitor activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team's primary objective is to assess risks across markets using established surveillance programs to protect the firm from reputational and financial risks while adhering to internal policies and regulatory requirements. Your key responsibilities wi...

As an E-Communication Surveillance personnel at Compliance Conduct and Operational Risk division, your primary responsibility will be to identify potential instances of market abuse, specifically insider trading and market manipulation. You will utilize established surveillance systems to monitor activities in both Firm and Employee accounts in order to ensure compliance with policies. The E-Communication surveillance team plays a crucial role in assessing risks across markets and implementing surveillance programs to protect the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Your role will involve reviewing communications surve...

As a member of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in maintaining the strength and resilience of the company. Your expertise is vital in facilitating responsible business growth by proactively identifying and addressing emerging risks. By leveraging your expert judgement, you tackle real-world challenges that have a direct impact on the company, its customers, and the broader communities we serve. Within the Risk Management and Compliance team, our culture encourages innovative thinking, challenges conventional practices, and strives for excellence in all endeavors. Joining the Compliance Conduct and Operational Risk division as an E-Communication Survei...

WE'RE HIRING! We are looking to fill the position of Senior Surveillance Executive in our organization. Location: Santacruz, Mumbai Experience: 6 - 8 Years Qualification: Graduate / Postgraduate in Finance, Commerce, Economics or related field Certifications Preferred: NISM Certification KEY RESPONSIBILITIES: Monitor and analyze trading activities to identify instances of market manipulation, insider trading, front running, and other regulatory breaches. Review alerts generated from NSE / BSE surveillance systems and internal tools. Investigate anomalies and prepare detailed reports for internal review and regulatory filings. Liaise with Exchanges and internal teams for closure of alerts and...

WE'RE HIRING! We are looking to fill the position of Surveillance Officer in our organization. Location: Santacruz, Mumbai Experience: 6 - 8 Years Qualification: Graduate / Postgraduate in Finance, Commerce, Economics or related field (NISM Certifications Preferred) KEY RESPONSIBILITIES: Monitor and analyze client and proprietary trades to detect suspicious patterns such as market manipulation, insider trading, or front running. Investigate alerts generated by NSE / BSE surveillance systems and internal monitoring tools. Handle regulatory communications, inspections, and ensure timely closure of observations. Prepare comprehensive reports on surveillance findings for internal and regulatory ...

Hi, Greetings! Please find below details of the job opportunity at BSE Ltd, Mumbai. Job description: Perform daily BOD-EOD activities. Investigate abnormal activities, including manipulation, artificial trades, insider information, and social media rumors/news. Draft detailed investigation reports, analyzing trading activities and patterns in the equity derivatives, currency derivatives, and commodity derivatives segments. Comprehensive Review of KYC Processes- KYC includes Customer Identification Program (CIP), beneficial Ownership, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD). Handling alerts such as price manipulation, anti-money laundering, suspicious transactions/ trad...

Develop guidelines for various topics such as the company's code of conduct, compliance control standards, anti-corruption, statutory compliances, fair trade, data protection. Compliance Organization Management. Compliance Training. Tamil is Must.