Trade Surveillance Expert

Roles and Responsibilities

• Develop team programs that support the organization’s business strategy Ensure financial compliance with Organization’s policies and procedures and applicable legal rules and banking regulations.
• Identifies and recommends potential solutions that monitor, detect or prevent money laundering or terrorist finance activity ·
• The candidate will operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and culture.
• Ability to work independently and accurately prioritize workload with minimal supervision Functional: ·
• Analytical skills and solid financial expertise are paramount o Well versed with various asset classes like Equity, derivatives, Fixed Income.
• The candidate must be ready to cope with a significant workload of alerts to review every day.
• Promptly undertake Trade surveillance using the firm's surveillance tools like SMARTS.
• Review alerts under various models but not limited to Insider dealing, Ramping, Layering, Spoofing, Wash etc.
• Promptly investigate and clearly highlight suspicious trades arising from the surveillance activities, involving advisory compliance officers as required.

Requirements

• 4 years of relevant experience in Trade Surveillance & Compliance Bachelor’s degree or equivalent work experience required.
• Must have a proven experience in a Trade Surveillance role using SMARTS / Actimize Trade Surveillance tool.
• Knowledge of Risk, Compliance and Controls
• Having experience in both Trade surveillance and Communication Surveillance will be an added advantage.
• Good analytical skills with high attention to detail and accuracy Excellent verbal, written, and interpersonal communication skills.
• Ability to interact with all levels of an organization Strong organizational, multi-tasking, and prioritizing skills.
• Ability to execute in a fast paced, high demand, environment while balancing multiple priorities.
• Ability to articulate complex concepts in a clear manner Solid critical thinking, problem solving and decision-making skills.
• Ability to develop partnerships and collaborate with other business and functional areas.
• Ability to work effectively in a team environment and across all organizational levels, where f flexibility, collaboration, and adaptability are important.
• Ability to identify risks and propose mitigation plans Advanced Microsoft Office skills Specific expertise in interacting and working with large processing / operations teams and in managing an on-shore / off-shore operating model.
• French speaking will be added advantage, as many traders and sales will be in French.