16 Market Manipulation Jobs

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 producing management information reports for Senior Management. It is essential to have a good understanding of trade surveillance terminologies and various types of market manipulations. Furthermore, you should be open to learning about Personal Account Dealing, S329 Disclosures, AML, and E-comm Surveillance. Key Responsibilities: - Conduct general electronic communications and trading surveillance reviews - Investigate and close out monitoring alerts promptly - Drive continuous improvement of the surveillance framework - Contribute to the implementation of strategic department projects - Raise Suspicious Transaction reports (STR) for further investigation - Assist in producing management information reports - Participate in team discussions, investigations, and knowledge sharing - Develop a good understanding of trade surveillance terminologies and market manipulations - Be flexible and open to learning about various compliance aspects Qualifications Required: - Attention to detail and process-oriented - Investigative skills and willingness to learn other compliance aspects - Proficiency in Word and Excel - Strong prioritization, organizational, and multi-tasking skills - Self-motivated with a desire to learn and be challenged - Experience in building relationships with stakeholders - Strong analytical skills and ability to work under tight deadlines - 4 to 7 years of relevant experience (Note: No additional details about the company were provided in the job description.),

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 matters to appropriate stakeholders. Additionally, you will collaborate with business and compliance teams to identify potential market misconduct and technical rule violations, interacting with regional Surveillance teams as needed. Conducting alert-based reviews to ensure adherence to laws, rules, and regulations will be a crucial aspect of your responsibilities. In this fast-paced environment, you will work alongside peers, handling multiple reports, and contributing towards process improvements. It is essential to identify key issues, risks, trends, and observations for communication to management and key stakeholders. The ideal candidate for this position should hold a graduate degree and possess a minimum of 6 years of trade surveillance/product experience with exchange-traded products, information barriers, or asset management. A thorough understanding of markets, market manipulative behavior, and the ability to conduct reviews in alignment with regional rules and regulations are required. Familiarity with securities laws and regulations for identifying potential trading violations is a key competency. Experience with trade surveillance systems such as SMARTS, Actimize, or similar tools is advantageous. Proficiency in navigating and sourcing information from Bloomberg or public sources is preferred. A working knowledge of securities markets will be beneficial in fulfilling the responsibilities of this role.,

You will be joining Genpact, a global professional services and solutions firm with a workforce of over 125,000 professionals in more than 30 countries. Driven by curiosity, agility, and the goal of creating value for clients, we aim to improve the world for people through our services to leading enterprises, including Fortune Global 500 companies. We specialize in deep business knowledge, digital operations services, and expertise in data, technology, and AI. We are looking for a Process Developer in Financial Crime Anti Money Laundering for a global investment bank. Your responsibilities will include conducting AML and KYC checks, assessing alerts, investigations, and reviews as per policy. Key Responsibilities: - Review and analyze trading alerts, focusing on potential insider trading, information barrier, and market manipulation scenarios - Research market-moving events, analyze trading within this context, and provide recommendations - Investigate potential trading issues flagged by business units like Global Markets Division and Investment Banking - Collaborate with Compliance teams for developing and testing automated surveillance models - Coordinate with Anti-Money Laundering Group on trading-related investigations - Participate in ad-hoc projects related to trading around market-moving news events - Enhance controls and quality of the trade surveillance program - Adhere to critical metrics and business SLAs Qualifications: Minimum Qualifications: - University graduate in any field - Proficient in business communication in English Preferred Qualifications/Skills: - Relevant work experience - CAMS certification preferred - Proficiency with Bloomberg, Reuters, and other market data tools - Interest in capital markets, current events, and financial news - Ability to identify and explain basic trading strategies - Experience/knowledge of fixed-income securities, equity options, and derivatives - Effective communication skills for presenting analysis - Team player with a positive attitude and work ethic - Ability to multitask on different assignments/projects - Exposure to AML with Institutional clients/Investment Banking - Experience with tools like World Check, Banker's Almanac, Actimize, RDC, Lexis Nexis, and regulatory databases Join us as a Process Developer based in Gurugram, India, on a full-time schedule. If you meet the above qualifications and are interested in contributing to our global team, apply now!,

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 guidance on compliance matters, as well as assisting with regulatory examinations, inquiries, and projects. You will be expected to draft and amend compliance-related policies and procedures, monitor regulatory changes and industry initiatives, and lead special projects involving multiple stakeholders within the firm. To excel in this role, you should ideally possess a Bachelor's degree in finance, Economics, or a related field, along with at least 3 years of relevant experience. Prior experience in surveillance or a related role at a regulatory authority, bank, broker, or buy-side firm would be advantageous. Knowledge of the securities and trading industry, particularly in the US financial markets, is preferred. You should also have experience working with third-party surveillance platforms and demonstrate exceptional written, analytical, and research skills. Strong attention to detail, effective communication skills, and the ability to work independently with various levels of management and staff are essential for success in this position. You must be a proactive team player with a desire to continuously learn and improve. The ability to handle multiple tasks simultaneously, identify complex problems, and evaluate options will be key to your success. Proficiency in computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint, is required for this role. If you are a motivated and detail-oriented professional with a passion for compliance and a keen interest in the financial markets, we encourage you to apply for the Trade Surveillance Analyst position at Millennium Management. Join us in our mission to deliver high-quality returns to investors while upholding principles of integrity, discipline, and excellence.,

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 insider trading and market manipulation. Using established surveillance systems, you will monitor activities in both Firm and Employee accounts to ensure compliance with policies. Your role is pivotal in mitigating risks across markets, safeguarding the firm against reputational and financial risks, and adhering to internal policies and regulatory requirements. Your key responsibilities include reviewing applicable communications surveillance alerts and communications subject to first-level review. You will diligently identify unusual activities and potential compliance issues, collaborating with business and compliance stakeholders to escalate potential market misconduct. Additionally, conducting alert-based reviews for potential violations of laws, rules, and regulations will be part of your routine tasks. Working alongside your peers, you will handle multiple reports and engage in result-oriented activities within a fast-paced environment. Proactively identifying areas for process improvement and contributing towards enhancing operational efficiency are essential aspects of your role. Furthermore, you will be responsible for identifying key issues, risks, trends, and observations, highlighting them to management and key stakeholders. Possessing a sense of ownership and accountability, you will follow through on existing issues and cases diligently. To excel in this role, you are required to have a Bachelor's Degree or equivalent experience. A minimum of 5 years of overall experience in E-Communication/trade surveillance is essential. Your product experience with financial products, including equities, futures, and fixed income, or knowledge of information barriers and asset management is highly valuable. An understanding of markets and potential market manipulative behavior, coupled with the ability to conduct reviews related to regional rules and regulations, is crucial. Strong written and verbal communication skills, organizational and analytical abilities, and attention to detail are prerequisites for this position. You should demonstrate the capacity to handle multiple tasks in a dynamic and fast-paced environment. Flexibility and adaptability to changing work processes and environments are key traits for success in this role. High attention to detail and proficiency in executing a range of relatively complex tasks and analysis are expected. Experience with surveillance systems such as Smarsh Connected Archive, NICE VOISS, or similar tools is considered advantageous.,

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, inquiries, investigations, and projects. Drafting and amending compliance-related policies and procedures, monitoring regulatory changes, updates, and industry-wide compliance initiatives will also be part of your responsibilities. The ideal candidate for this role should possess a Bachelor's degree in finance, Economics, or a related field, with a strong academic record. A minimum of 3 years of experience is required, with prior surveillance or related experience at a regulatory authority, bank/broker, or buy-side firm being ideal. Knowledge of the securities and trading industry, particularly US financial markets, is preferred. Experience with third-party surveillance platforms is also necessary. To excel in this role, you must have exceptional written, analytical, and research skills. You should be able to apply both quantitative and qualitative analysis effectively. Strong attention to detail, organizational skills, and effective communication skills, both verbal and written, are essential. The ability to work independently and collaboratively with all levels of management and staff is crucial. As a Compliance Analyst, you should have a desire to learn, strong communication and analytical skills, and the ability to handle multiple tasks simultaneously. Attention to detail and the capability to identify complex problems, review related information, and develop and evaluate options are key. Being a phenomenal teammate with enthusiasm for trading markets is highly valued. Proficiency in advanced computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint, is required for this role. If you are looking to be part of a global investment management firm committed to delivering the highest quality returns to investors while upholding principles of integrity, discipline, and excellence, this opportunity at Millennium Management may be the perfect fit for you.,

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 required to monitor daily surveillance reports using exception reports and various tools, review surveillance alerts, perform analysis, and escalate any findings as necessary. Additionally, you will assist in investigating and managing inadvertent receipt of material non-public information (MNPI), and collaborate closely with business and compliance teams to offer guidance on compliance matters. Furthermore, you will play a key role in supporting regulatory examinations, inquiries, investigations, and projects as needed. You will also be responsible for drafting and updating compliance-related policies and procedures, staying informed about regulatory changes, updates, and industry-wide compliance initiatives, and leading special compliance projects involving multiple stakeholders from different departments. To qualify for this position, a Bachelor's degree in finance, economics, or a related field is preferred, along with a robust academic background. You should have 8-10 years of experience, ideally including prior surveillance experience at a regulatory authority, bank/broker, or buy-side firm. Knowledge of the securities and trading industry, particularly in US financial markets, is advantageous. Experience with third-party surveillance platforms, exceptional written and analytical skills, and the ability to apply quantitative and qualitative analysis are essential. Strong attention to detail, organizational skills, and effective communication abilities, both verbal and written, are also required. You should be capable of working independently and collaboratively across all levels of management and staff, possess a desire to learn, and be able to handle multiple tasks simultaneously. Moreover, you must have the ability to identify complex problems, review relevant information to develop and evaluate options, and be a strong team player with enthusiasm for trading markets. Proficiency in computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint, is expected for this role.,

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 will involve: - Reviewing trade surveillance alerts and analyzing trading and market activity across various asset classes such as Equities, Information barriers, Fixed income, Futures/Options, and Asset management. - Documenting the review and disposition of exceptions, as well as escalating relevant matters appropriately. - Collaborating with business and compliance stakeholders to identify potential market misconduct and technical rule violations, including interaction with regional Surveillance teams. - Conducting alert-based reviews to detect potential violations of laws, rules, and regulations. - Working with peers to handle multiple reports efficiently in a fast-paced environment and identifying areas for process improvement. - Bringing key issues, risks, trends, and observations to the attention of management and key stakeholders. To be successful in this role, you should possess the following qualifications, capabilities, and skills: - A qualified graduate with a minimum of 6 years of trade surveillance/product experience involving exchange-traded products (equities, futures, and fixed income) and/or information barriers/asset management. - Knowledge of markets and potential market manipulative behavior, along with the ability to conduct reviews in compliance with regional rules and regulations. - Experience in reviewing trading activity for compliance and familiarity with securities laws and regulations to identify potential trading violations. Preferred qualifications, capabilities, and skills include: - Experience with SMARTS, Actimize, or similar trade surveillance systems. - Familiarity with navigating and sourcing information in Bloomberg and other public sources. - Working knowledge of securities markets is advantageous. Your role as a trade surveillance personnel is critical in safeguarding the firm against financial and reputational risks while ensuring compliance with regulatory requirements. Your attention to detail, analytical skills, and ability to collaborate with various stakeholders will be essential in identifying and addressing potential market misconduct effectively.,

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 surveillance alerts and communications subject to first-level review, with a focus on identifying unusual activity and potential compliance issues. Collaborating with business and compliance stakeholders to pinpoint potential market misconduct and escalate compliance issues will be key aspects of your responsibilities. Additionally, you will conduct alert-based reviews to identify potential violations of laws, rules, and regulations. Working alongside your peers, you will handle multiple reports and engage in result-oriented tasks within a fast-paced environment. Furthermore, you will be expected to identify areas for process improvement and actively contribute towards enhancing existing processes. It is essential to proactively highlight key issues, risks, trends, and observations to management and key stakeholders. Possessing a sense of ownership and accountability, you will be responsible for following through on existing issues and cases. The ideal candidate for this role should hold a Bachelor's Degree or possess equivalent experience. A minimum of 6 years of overall experience in E-Communication/trade surveillance is required, along with product experience in financial products such as equities, futures, and fixed income, or knowledge of information barriers/asset management. An understanding of markets and potential market manipulative behavior, coupled with the ability to conduct reviews related to regional rules, regulations, and policies, is crucial. Strong organizational and analytical abilities, attention to detail, and the capacity to handle multiple tasks in a fast-paced environment are essential qualities for this position. Experience with surveillance systems such as Smarsh Connected Archive, NICE VOISS, or similar platforms would be advantageous. As part of the Firms Global Compliance Surveillance team, you will play a vital role in safeguarding the firm against risks and ensuring compliance with regulatory requirements.,

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 Surveillance Personnel, you will be entrusted with the critical task of detecting potential instances of market abuse, particularly insider trading and market manipulation. Utilizing established surveillance systems, you will monitor activities across Firm and Employee accounts to ensure compliance with internal policies and regulatory requirements. Your role will be pivotal in mitigating reputational and financial risks, thereby safeguarding the firm's interests. Your key responsibilities will include reviewing communications surveillance alerts and communications subject to first-level review to identify unusual activities and potential compliance issues. Collaborating with business and compliance stakeholders, you will play a key role in identifying and escalating potential instances of market misconduct. By conducting alert-based reviews for potential violations of laws, rules, and regulations, you will contribute to upholding the highest standards of compliance. In this dynamic role, you will work alongside your peers to handle multiple reports and engage in result-oriented tasks within a fast-paced environment. Your proactive approach, coupled with a strong sense of ownership and accountability, will be instrumental in addressing existing issues and cases effectively. Additionally, you will be expected to identify areas for process improvement and actively contribute to enhancing operational efficiency. To excel in this position, you should possess a Bachelor's Degree or equivalent experience, along with a minimum of 3 years of prior E-Communication/trade surveillance experience. A solid understanding of financial products, such as equities, futures, and Fixed income, as well as familiarity with information barriers and asset management, will be beneficial. Your ability to interpret market dynamics and detect potential market manipulative behavior, in alignment with regional rules and regulations, is essential. Strong written and verbal communication skills, exceptional organizational abilities, and keen attention to detail are prerequisites for this role. You should demonstrate proficiency in handling multiple tasks simultaneously and exhibit adaptability to evolving work processes and environments. Experience with surveillance systems like Smarsh Connected Archive, NICE VOISS, or similar tools will be advantageous. By joining our team, you will have the opportunity to contribute to the continuous enhancement of our risk monitoring and compliance practices. Your dedication to excellence and commitment to upholding the highest ethical standards will be instrumental in ensuring the firm's continued success in a dynamic and ever-evolving market landscape.,

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 minimal support of senior team members. The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster. Professionals in this role will: Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc. Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades. Regularly monitor and understand current market conditions, regulations, and changes. Have thorough understanding of the clients IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries. Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance team Functional Responsibilities: Working on daily exceptions. Preparing and updating the client SOPs as and when required. Identify gaps in existing process and suggest enhancements. Handle queries of junior team members and help them learn the process. Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team Functional Competencies: Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc. Strong Microsoft Office knowledge is required. Experience in handling different exceptions of the Trade Surveillance modules Sound knowledge of the Bloomberg terminal and its different screens Key Competencies Qualifications: MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred. Experience: 5 - 10 years of experience in Trade Surveillance role Behavioural Competencies: Team working Client Centricity Entrepreneurial Communication Clarity of Thought Self-awareness Interested candidates can DM their resume at dolimoni.kalita@acuitykp.com

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/ trades on exchange platforms. Analyse trading activities to identify irregularities and trends. Undertake various types of back testing and data analysis to support investigations . Attend and address complaints and queries and ensure to close within defined TAT. Identify areas for software and process improvements & update to senior officials. Undertake software Testing to identify bugs and functional gaps. Elementary knowledge or awareness of Capital, Financial, Commodity Markets and regulatory frameworks. Required Skills: Possesses strong analytical and presentation skills, excellent verbal and written communication abilities, and proficient in MS Word, Excel, and PowerPoint. Knowledge on Machine Learning Websites such as Kaggle, GitHub, Coursera etc. Hands on experience for using additional software tools like Power BI, Tableau, Python, Macros, Data Analytics etc. Sound knowledge of applicable Rules / Regulations /Acts replated to capital market. Candidates having elementary knowledge of trading / surveillance in stocks markets (Equity & Derivatives) and/or Commodity markets and /or depository transactions and/or currency markets. Ability to work with active team engagement. Note: Required years of experience for this profile 4 years to 14 years. Regards, Mahek shah BSE Limited.

As a Strategic Development Analyst at Deutsche Bank in Mumbai, India, you will be supporting the Business Supervisory Office (BSO) to ensure compliance with local rules and regulations for the US Private Banking Business. Your primary responsibilities will include reviewing daily trade alerts, analyzing trade-related data, identifying market manipulation themes such as front running and insider trading, and escalating any issues to relevant stakeholders in compliance with applicable regulations. Additionally, you will assist in Transaction Monitoring by reviewing domestic and cross-border wire transfers to detect any suspicious activity related to money laundering. You will also play a key role in enhancing current processes to improve efficiency and may participate in internal reviews conducted by Group Audit and Compliance Testing & Assurance (CT&A). In this role, you will collaborate with multiple stakeholders, including business divisions and infrastructure functions, to ensure the quality of data and support the development of new Key Operating Procedures. Your experience in Regulatory and Brokerage Trade Surveillance, knowledge of Market Manipulation themes, familiarity with surveillance tools like PM1 and SunGard/FIS Protegent, and understanding of Private Banking AML risks will be essential in excelling in this position. Deutsche Bank offers a comprehensive benefits package, including a best-in-class leave policy, gender-neutral parental leaves, sponsorship for industry certifications, and employee assistance programs. You will also have access to hospitalization insurance, accident and term life insurance, and health screening for you and your dependents. Training, coaching, and continuous learning opportunities are provided to support your career growth and development. At Deutsche Bank, we strive to create a positive, fair, and inclusive work environment where employees are encouraged to excel together every day. Join us in celebrating the successes of our people and contributing to the culture of excellence at Deutsche Bank group.,

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 analysis and escalate suspicious transitions Conduct various type of investigation to prevent / detect suspected market irregularities and initiate appropriate escalations and actions. Ensure compliance of SEBI/Regulatory frameworks, orders, and corresponding actions Attend internal and external statutory and regulatory audits and compliances. Improve operational efficiencies by process improvements, initiating business requirements, software testing and new features / functional release implementations. Coordinate with regulators for preparing / reviewing various policies and circulars, SOPs, user manuals used for various surveillance actions. In depth knowledge of Capital, Financial and Commodity Markets and various regulatory frameworks. Functioning of surveillance systems, processing of various surveillance alerts, and taking them to logic conclusion / investigation. Various applicable Regulations applicable to MIIs i.e. SAST, PIT, PFUTP, PMLA, AML, FIU, LODR, ICDR etc. Microsoft applications such as MS Windows, word, Excel, PPT etc. Technically proficient in Software's / applications used for Surveillance related activities. Preferred Skills: Possesses strong analytical and presentation skills, excellent verbal and written communication abilities, and proficient in MS Word, Excel, and PowerPoint. Knowledge on Machine Learning Websites such as Kaggle, GitHub, Coursera etc. Hands on experience for using additional software tools like Power BI, Tableau, Python, Data Analytics etc. Sound knowledge of applicable Rules / Regulations /Acts related to capital market. Candidates with strong domain of trading / surveillance in stocks markets (Equity & Derivatives) and/or Commodity markets and /or depository transactions and/or currency markets. Candidates with domain in one of more verticals viz experience from BFSI industry, Broking Firm, Foreign Broking Houses, depositories. Clearing corporations etc. will be given preference. Additional professional certification mandatory (NISM, Risk, Fraud examiner etc.) Work Experience: 4 years to 22 years. Regards, Yashashree Wagle

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 minimal support of senior team members. The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster. Professionals in this role will: Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc. Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades. Regularly monitor and understand current market conditions, regulations, and changes. Have thorough understanding of the clients IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries. Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance team Functional Responsibilities: Working on daily exceptions. Preparing and updating the client SOPs as and when required. Identify gaps in existing process and suggest enhancements. Handle queries of junior team members and help them learn the process. Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team Functional Competencies: Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc. Strong Microsoft Office knowledge is required. Experience in handling different exceptions of the Trade Surveillance modules Sound knowledge of the Bloomberg terminal and its different screens Key Competencies Qualifications: MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred. Experience: 3 - 8 years of experience in Trade Surveillance role Behavioural Competencies: Team working Client Centricity Entrepreneurial Communication Clarity of Thought Self-awareness Interested candidates can DM their resume at dolimoni.kalita@acuitykp.com

We are conducting Virtual Walk-In drive on Saturday, 17th May for Trade Surveillance role. Immediate joiners to 30 days notice period candidates are preferrable. Job Location: Bangalore, Mandatory WFO Experience: 3 - 8 years of experience in Trade Surveillance role 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 minimal support of senior team members. The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster Professionals in this role will: Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc. Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades Regularly monitor and understand current market conditions, regulations, and changes. Have thorough understanding of the clients IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries. Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance team Key Responsibilities: Functional Responsibilities: Working on daily exceptions Preparing and updating the client SOPs as and when required Identify gaps in existing process and suggest enhancements Handle queries of junior team members and help them learn the process Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team Functional Competencies: Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc. Strong Microsoft Office knowledge is required Experience in handling different exceptions of the Trade Surveillance modules Sound knowledge of the Bloomberg terminal and its different screens Key Competencies Qualifications: MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred. Behavioral Competencies: Team working • Client Centricity • Entrepreneurial • Communication • Clarity of Thought • Self-awareness