33 Market Abuse Jobs

Role & responsibilities Monitor and review employee electronic communications (email, Teams, WhatsApp, SMS, Bloomberg, etc.) for potential policy breaches, regulatory violations or misconduct. Identify and escalate red flags related to insider trading, market manipulation, information leakage, fraud or inappropriate business conduct. Classify, document and track findings in the firms surveillance systems as per established procedures. Assist in internal investigations and prepare summaries or case-reports for senior compliance officers. Help optimize surveillance tools, lexicons and processes to improve detection accuracy and reduce false positives. Participate in user acceptance testing (UA...

As part of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in ensuring the firm's strength and resilience. Your expertise helps the company navigate emerging risks responsibly and tackle real-world challenges that affect our organization, customers, and communities. Our Risk Management and Compliance culture encourages innovative thinking, questioning the status quo, and striving for excellence. **Key Responsibilities:** - Review communications surveillance alerts and communications for potential compliance issues - Collaborate with business and compliance stakeholders to identify market misconduct and escalate compliance concerns - Conduct alert-based reviews to de...

Senior Associate, Compliance & Control Trade Surveillance Pune We’re seeking a future team member for the role of Senior Associate, Compliance & Control – I grade to join our Compliance Trade Surveillance team. This role will be based in Pune, MH - Hybrid. In this role, you’ll make an impact in the following ways: Supports the day-to-day efforts related to assessing whether employees globally are in compliance with relevant laws, rules, regulations based on review of 1LoD closed surveillance alerts. Provide oversight for surveillance team across multiple disciplines and ensures employees are technically apt in carrying out daily responsibilities Conduct thorough daily analysis of automated s...

Job Description Job Title: Sr Specialist, Trade Surveillance Department: Market Compliance About the Role We are seeking an experienced and detail-oriented Trade Surveillance Manager to join our dynamic Compliance team. This role is responsible for overseeing the surveillance of our clients commodity derivatives trading activities to detect and prevent market abuse. The ideal candidate will be a hands-on expert with good knowledge of commodity markets and proven experience using sophisticated surveillance tools. Key Responsibilities: Trade Surveillance: Lead and perform hands-on, real-time and post-trade surveillance of commodity derivative trades (futures, options, swaps) to identify potent...

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 ...

As a Visualization Developer for surveillance insights, your role will involve developing impactful visualizations, managing the Surveillance product line and work pipeline, collaborating with stakeholders, ensuring data accuracy and completeness, creating MI, KPIs, and KRIs, working on data mapping and coverage, maintaining documentation, and building a strong team brand. You will also be expected to stay updated on Tableau and visualization trends. Key Responsibilities: - Strong experience in data visualization and dashboards. - Proficiency in SQL, relational databases, and data blending. - Advanced Excel skills including macros and pivot tables. - Experience in Power BI and Tableau admini...

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...

Greetings of the day ! Our reputed MNC Client is hiring for Senior Analyst- Surveillance role: Location: Thanisandra, Bangalore Shift: 11:30 AM - 8:00 PM Work Mode: Hybrid (3 days WFO) Note: It is an Individual Contribution role Skills: Market Abuse Regulation along with Communication Surveillance/ Audio Surveillance/ Trade Surveillance Candidate should have at least 2 years of experience in Market abuse Purpose of Role: This individual will be responsible for reviewing and closing electronic and audio communication alerts for the EMEA region. Main Responsibilities: These responsibilities include, but are not limited to providing support in conducting, the items listed below as per SOPs and ...

You will be joining the Compliance Surveillance function at Deutsche India Private Limited, working closely with colleagues to support the Germany region. The function focuses on post-event detection of market manipulation, insider trading, and other risks as per established DB standards and regulatory requirements, with a focal point on monitoring communication, voice, and trade data. - Conduct daily surveillance, primarily on trade data, to detect potential breaches such as insider trading and market manipulative actions. - Perform research and investigations within defined service levels to identify reasons for potential violations. - Document research results, escalate violations, and/or...

Role Overview: You will be joining the Compliance Surveillance function at Deutsche India Private Limited, working closely with colleagues to support the Germany region. The function focuses on post-event detection of market manipulation, insider trading, and other risks as per established DB standards and regulatory requirements, with a focal point on monitoring communication, voice, and trade data. Key Responsibilities: - Conduct daily surveillance, primarily on trade data, to detect potential breaches such as insider trading and market manipulative actions. - Perform research and investigations within defined service levels to identify reasons for potential violations. - Document research...

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 ...

The Compliance Officer is a valuable member of the Global Compliance Team, providing day-to-day marketing review support of sales and client service advertising materials of Russell Investments retail, institutional and corporate businesses as well as supporting the email surveillance program. This role also may assist in other compliance activities that support the firms policies and procedures, testing, and maintenance of global regulatory developments and industry trends. This role requires an individual with an ability to multi-task and maintains a results-oriented approach to resolving various compliance issues and achieving multiple compliance objectives. The compliance team serves as ...

The role involves reviewing, analyzing, and investigating market abuse trading activity generated by an automated monitoring system at level 1 according to defined review processes. The growing number of surveillance models for FOCS necessitates additional staff to handle the increasing alert population and surveillance coverage. It is essential to investigate each occurrence thoroughly to determine if there are grounds to generate a suspicious activity report. Responsibilities include obtaining and uploading analysis results, maintaining records, and concluding alerts within specified timelines without compromising quality. Utilizing research tools like Bloomberg and Reuters to identify pub...

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 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 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 a Business Analyst specialized in Capital Markets, Compliance, and Trade Surveillance, you will be responsible for leveraging your expertise to enhance the surveillance function and manage sensitive data access in alignment with trading, compliance, and surveillance objectives. Your strong understanding of financial products, derivatives, and risk sensitivity will be crucial in designing and implementing controls and procedures to ensure effective trade surveillance. You should have hands-on experience in derivatives, trade surveillance, and related risk management processes. Familiarity with market abuse, manipulations, and trade surveillance scenarios commonly used across the industry i...

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...

The Regulatory Control Support Compliance Surveillance - Analyst role at Deutsche Bank involves working within the Compliance Surveillance function in Deutsche India Private Limited, focusing on post-event detection of market manipulation, insider trading, and other risks as per established DB standards and regulatory requirements. The primary tasks include monitoring communication, voice, and trade data for potential breaches and conducting investigations to identify violations. This position requires close collaboration with colleagues to support the Germany region. You will benefit from a range of advantages as part of the flexible scheme, such as best-in-class leave policy, gender-neutra...

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 are looking for an Immediate joiner. Mandatory Work from Office - 5 days. Job Purpose: Trade Surveillance team is responsible for assisting the client to validating the exceptions generated in the system. The incumbent will primarily be responsible for checking the alerts/exceptions generated based on the existing modules developed by the client. The incumbent will also be responsible for performing daily review of all exceptions and closing it out with an appropriate rationale and escalate to the client if there any true exceptions. Associate / Senior Associate/ Delivery Lead of the Trade Surveillance team will be an expert in the process and should be able to perform the task with minim...

About this role: Wells Fargo is seeking a Compliance Director to lead the team in Hyderabad that performs activities covering the Global Compliance Control Group, and Information Barrier and Personal Account Dealing Surveillance, outside activity pre-clearance, equity aggregation, insurance licensing and registration. The Candidate will focus on overseeing the effective and consistent execution of these teams second line of defense. These teams are part of the broader Enterprise Compliance Operations (ECO) and Conduct Risk team. About the Enterprise Compliance Operations Team: Enterprise Compliance Operations (ECO) is a team comprised of several underlying teams which are highly operational ...