87 Mifid 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...

Role & responsibilities Regulatory Trade Data Analyst Key Skills: Trade lifecycle & order flow knowledge Experience with OMS/EMS systems (Bloomberg, Fidessa, etc.) Strong in SQL / Python / Excel for data analysis Exposure to compliance, trade surveillance, or reporting Understanding of MiFID II / Dodd-Frank / FCA regulations

Role Overview: You will be part of the Regulatory reporting team as an AVP in Bangalore, India. Your main responsibility will be to ensure compliance with regulatory requirements such as MiFID II, EMIR, CFTC, and SFTR across all asset classes. Key Responsibilities: - Understanding and defining Transaction Reporting logic and addressing how new rules and regulations impact operations - Ensuring accurate, timely and complete reporting - Collaborating with technology development teams to automate the exceptions process - Identifying gaps or errors in systems or trade logic and proactively improving them - Supporting the design of new business solutions and communicating impacts and risks - Perf...

Minimum 8 years of working experience in FS Domain as QA with back office experience Hands on Front office middle office trading applications - Equity, Options, Convertible Bonds Good understanding of Trade Life Cycle, FIX protocol Excellent written and verbal communication - Ability to present test plans Issues Demos to mixed audiences - Client, development & business stakeholders Able to write Functional, Integration and Regression test plans for complex requirements Test Automation: experience in developing and maintaining test frameworks using Java Springboot Basic Linux commands Hands-on database querying skills; Experience with relational database (Sybase, SQL server etc.) Exposure wor...

Business Analyst JD- KYC An experienced Business Analyst is required by the Client Entity Enablement team to operate in an Agile squad involved in changes and rollouts to the Customer Due Diligence ecosystem of applications and services as part of the Technology and Innovation department. Key Responsibilities Plan the analysis approach, stakeholder engagement model, and governance plan for new projects and opportunities, identifying key performance improvement areas. Collaborate with key stakeholders to elicit solution requirements to ensure innovative, smart scalable solutions which adhere to the Banks standards are identified. Liaise and assist the wider Agile team members to ensure delive...

Position Purpose This role is intended to provide data analysis and setup the automated reporting, controls and monitoring for the regulatory reporting team or assimilate (Compliance, top management, IG, Business) on an ad hoc and a regular basis using a variety of analytical tools and SQL. The ODIN Team is part of ITO GM IT, which looks to satisfy the requirements related to regulatory reporting control & monitoring asked by end users represented by OPS Regulatory Reporting or/and C.M.I on four pillars : Data Analysis : Perform and document analysis, review and study on specified regulatory topics. Understand business change and requirement needs, assess the impact and the cost. Data visual...

Minimum 6 years of working experience in FS Domain as QA with back office experience Hands on Front office middle office trading applications - Equity, Options, Convertible Bonds Good understanding of Trade Life Cycle, FIX protocol Excellent written and verbal communication - Ability to present test plans Issues Demos to mixed audiences - Client, development & business stakeholders Able to write Functional, Integration and Regression test plans for complex requirements Test Automation: experience in developing and maintaining test frameworks using Java Springboot Basic Linux commands Hands-on database querying skills; Experience with relational database (Sybase, SQL server etc.) Exposure wor...

As a Vice President, Project Management, Credit Ris - Hybrid at Citi, you will play a vital role in managing the Book of Work across US Personal Banking Risk. Your responsibilities will include: - Providing on-the-ground support to develop and execute planning, coordination, and day-to-day activities of running the Initiative or programs. - Managing, monitoring, and tracking execution of transformation programs, timing of work streams, deliverables, and other milestones. - Collaborating with other Program Managers to action deliverables from reviews of each program's defined scope, target state, and success criteria. - Identifying and escalating program constraints/risks/issues impacting pro...

Reference 25000JD8 Responsibilities Be open to self update about market changes on Regulatory Data Basic understanding of Upstream & Downstream impact Experience in working on Remediation projects with tight deadlines Good communication skills (Verbal & Non-Verbal) will be an added advantage Basic understanding of MS tools Prior experience in Investment Bank will be an added advantage Required Profile required Fair working knowledge on at least 4+ regulations out of the below : Foreign Account Tax Compliance Act (FATCA) European Market Infrastructure Regulation (EMIR) Markets in Financial Instruments Directive (MiFiD) Securities Financing Transaction Regulations (SFTR) Dodd-Frank Wall Street...

Reference 25000JJO Responsibilities Be open to self update about market changes on Regulatory Data Basic understanding of Upstream & Downstream impact Experience in working on Remediation projects with tight deadlines Good communication skills (Verbal & Non-Verbal) will be an added advantage Good understanding on MS tools Be able to exhibit out of the box thinking and provide solutions Required Profile required Good working knowledge on at least 4+ regulations out of the below : Foreign Account Tax Compliance Act (FATCA) Common reporting standards (CRS) European markets infrastructure regulation (EMIR) Markets in Financial Instruments Directive (MiFiD) Securities Financing Transaction Regula...

You will be joining our team as an Associate in the Trade & Transaction Reporting Operations team. The TTRO Control Chapter Team focuses on delivering the control framework to manage the firm's risk and meet regulatory objectives related to Transaction Reporting accuracy and timeliness. To excel in this role, you will need knowledge of system flows, cash and derivative products, and investment banking operations control principles. **Role Overview:** - Perform business analysis activities to define solutions, utilizing product, process, and technical domain knowledge. - Partner with stakeholders on solution implementation, analyze complex issues, and propose future actions. - Work on remedia...

You will be joining the Trade & Transaction Reporting Operations team as an Associate, responsible for delivering the control framework to manage the firm's risk and ensure completeness, accuracy, and timeliness of Transaction Reporting. Your role will require knowledge of system flows, cash and derivative products, and investment banking operations control principles. **Key Responsibilities:** - Perform business analysis activities to define solutions, utilizing product, process, and technical domain knowledge. - Partner with stakeholders for solution implementation, issue analysis, root cause identification, and proposing future actions. - Work on remediation efforts for controls, reconcil...

Role Overview: You will be responsible for supporting and controlling the business in complying with regulatory requirements such as MiFID II, EMIR, and SFTR. Working as part of a team in Bangalore, you will be involved in Regulatory reporting across all asset classes. Your key responsibilities will include day-to-day exception management, MIS compilation, and User Acceptance Testing (UAT). Key Responsibilities: - Understand and define Transaction Reporting logic and how new rules and regulations impact operations - Ensure accurate, timely, and complete reporting - Collaborate with technology development teams to design system solutions for automating the exceptions process - Maintain report...

Job Description: Job Title: Regulatory reporting team, AVP Location: Bangalore, India Role Description The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirements such as MiFID II, EMIR, CFTC and SFTR . This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classes: Rates, Credit, Commodities, Equities, Loans and Foreign Exchange. Key responsibilities include day to day exception management MIS Compilation and User Acceptance Testing (UAT). The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirement...

Job Description: Job Title: Regulatory Reporting - AVP Location: Bangalore, India Role Description The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirements such as MiFID II, EMIR and SFTR .This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classes: Rates, Credit, Commodities, Equities, Loans and Foreign Exchange. Key responsibilities include day to day exception management MIS Compilation and User Acceptance Testing (UAT). What well offer you Best in class leave policy Gender neutral parental leaves 100% reimbursement under child care assistance benefit (gender neutra...

Job Description: Job Title: Regulatory Reporting Team - AVP Location: Jaipur, India Role Description The role is to perform a number of key functions that support and control the business in complying with a number regulatory requirements such as MiFID II, EMIR and SFTR . This role forms part of a team in Bangalore that supports Regulatory reporting across all asset classes: Rates, Credit, Commodities, Equities, Loans and Foreign Exchange. Key responsibilities include day to day exception management MIS Compilation and User Acceptance Testing (UAT). What well offer you As part of our flexible scheme, here are just some of the benefits that youll enjoy, Best in class leave policy. Gender neut...

As a Senior Business Analyst in Wholesale/Commercial Banking, you will be responsible for driving end-to-end business analysis for complex banking or regulatory change programs. You will collaborate with cross-functional and senior business teams to gather and manage requirements. Additionally, you will perform deep-dive product and data analysis related to trade, treasury, or regulatory domains. Your role will involve owning requirement documentation, stakeholder communication, and sign-offs, as well as supporting the implementation lifecycle from requirement to delivery and testing. Key Responsibilities: - Drive end-to-end business analysis for complex banking or regulatory change programs...

Project description We've been engaged by a large Australian financial institution to assist in the build-out of their Financial Markets Regulatory reporting software to support additional functionality required for Mifid 2 and G20 reporting (Dodd-Frank, ASIC, EMIR ) This engagement is part of a multi-year project to expand the capabilities of the existing software to support the ongoing stream of new regulations impacting financial markets derivatives (FX, FXD, IRD, FI, ..) We require an experienced Business Analyst with strong knowledge of Regulatory Reporting and broad exposure to financial markets (Including derivative trades). You will be working as a subject matter expert in a team of ...

Project description We've been engaged by a large French financial institution to provide resources for a range of Capital Market projects. Joining this program you will have the benefit of working with an established team working directly with onsite staff, fully involved in the project initiation through to project implementation. Responsibilities We are seeking an experienced Business Analyst with a strong background in Capital Markets. The successful candidate will play a crucial role in delivering for our Capital Markets projects. The focus will be on transitioning from the design-build phase to working closely with Finance Operations, Risk Management, and Treasury teams. This role offe...

Project description Our Customer is a Leading bank in Australia that provides a front to back integrated platform for straight-through processing and risk management. This is a multi-year initiative where different projects run in concurrence under the program's variety milestones. These streams include new product initiatives, new entity roll-outs, and regulatory compliance. We will have key roles in projects such as managing the scope, design, and delivering requirements from front to back office with Excelian. We are looking for talented and ambitious people. The roles are in the respective Functional, Test Management, Development, Test Support, Environment Management and Release teams. T...

Inviting applications for the role of Manager, Market Regulation & Agile BA! In this role, The Agile Business Analyst (BA) with Relevant experience in end-to-end business analysis life cycle: requirement elicitation, documentation, gap analysis and stakeholder management. Strong experience working in agile environments; active participation in backlog grooming, sprint planning, reviews and retrospectives. Adept at writing epics, user stories and acceptance criteria aligned with regulatory and product change requirements. Product knowledge of Equities, Fixed Income Instruments and OTC Derivatives. Familiarity with client onboarding, and client classification under regulatory regimes. Understa...

As a Senior Analyst, Legal Compliance at our company, you will play a crucial role in ensuring the effective implementation and maintenance of our Know Your Customer (KYC) and Anti-Money Laundering (AML) programs. Here's what you can expect in this role: Role Overview: - Conduct thorough customer due diligence (CDD) using risk assessments and identity verification methods. - Monitor and report on compliance metrics and incidents. - Screen adverse media news as per OFAC guidelines. - Investigate and resolve sanctions alerts and understand ownership drilldown as per risk requirements. - Conduct risk assessments and provide recommendations. - Collaborate with other teams to implement KYC and AM...

The Team: As our Client Support team expands, you will play a pivotal role in sustaining our momentum. Join a team of innovators dedicated to problem-solving and delivering unparalleled customer experiences in a dynamic environment. Together, we serve our diverse global clientele with excellence. Our management is committed to fostering a workplace that nurtures the growth and potential of our colleagues. The Impact: As a leading force in transaction reporting worldwide, Cappitech has been delivering regulatory technology solutions for over twenty years. Our cloud-based, cross-regulation Software as a Service (SaaS) platform empowers banks, brokers, hedge funds, asset managers, insurance com...

Morgan Stanley is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. We advise, originate, trade, manage and distribute capital for governments, institutions and individuals. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. We provide you a superior foundation for building a professional career where you can learn, achieve and grow. The Role We have built strong techno-functional teams which partner with our offices globally taking global ownership of systems a...

The Team: S&P is looking for a Senior Business analyst to work with clients and ensure that our software platforms for trade reporting and analytics, Cappitech, are fully delivered and address clients business requirements. This team supports onboarding of global clients who wish to meet their regulatory reporting requirements through Cappitech. The Impact: This role belongs to a client facing team which helps various financial and non-financial firms in meeting their regulatory reporting obligations. In this role, you will be understanding clients and regulatory requirements, translating those requirements into product feature and system requirements, and collaborating with the internal dev...