68 Trade Surveillance Jobs

About us At ExxonMobil, our vision is to lead in energy innovations that advance modern living and a net-zero future. As one of the world's largest publicly traded energy and chemical companies, we are powered by a unique and diverse workforce fueled by the pride in what we do and what we stand for. The success of our Upstream, Product Solutions and Low Carbon Solutions businesses is the result of the talent, curiosity and drive of our people. They bring solutions every day to optimize our strategy in energy, chemicals, lubricants and lower-emissions technologies. We invite you to bring your ideas to ExxonMobil to help create sustainable solutions that improve quality of life and meet societ...

Bachelor's degree or foreign equivalent required from an accredited institution. Will also consider three years of progressive experience in the specialty in lieu of every year of education. At least 3 years of experience with Information Technology. Candidate must be located within commuting distance Chennai, Hyderabad, Pune, Bangalore. or be willing to relocate to the area. Experience in Capital Markets / Regulatory reporting / Equities / Derivatives / AML Experience in Trade surveillance, Data Analysis, SQL/BRD/FSD Preferred Qualifications At least 3 years of experience as Business Analyst This would translate to the fact that the candidate should be able to work both with the business pa...

In this role at Accenture, you will be joining the CFO&EV Finance team in Europe with a specific focus on Risk & Compliance. Your responsibilities will include working closely with the Risk & Compliance Europe lead, providing thought leadership, shaping solutions in proposals, advising financial and non-financial institutions on risk management areas, and leading your team to research sales opportunities. You will also be involved in designing compelling sales messages, assets, and materials, as well as prioritizing solution advisory focus across different offerings and geographies within the CFO&EV R&C EMEA leadership. **Key Responsibilities:** - Build trust-based, strategic relationships w...

Role & responsibilities: Evaluate existing trade surveillance models and alert parameters to identify opportunities for performance enhancement. Conduct systematic tuning exercises to minimize false positives and strengthen true risk detection. Develop and maintain dashboards and metrics to track model accuracy, precision, recall, and false positive ratios. Perform back-testing, trend analysis, and sampling reviews to validate rule effectiveness. Partner with technology and data management teams to identify and resolve data integrity or completeness issues. Review and validate data feeds from source systems to ensure accurate capture of trading activity. Support data governance initiatives t...

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: As a Trade Surveillance Analyst at Northern Trust, you will play a crucial role in conducting daily reviews and analysis of trading activity across FX and other asset classes. You will utilize surveillance tools and techniques to identify potential market abuse or irregularities and generate alerts related to insider trading, market manipulation, and other misconduct. Your responsibilities will also include ensuring adherence to global regulatory frameworks, collaborating with compliance and legal teams, and providing specialized monitoring of FX trading activities. Key Responsibilities: - Conduct daily reviews and analysis of trading activity across FX and other asset classes...

Role Overview: As a Compliance Operations Manager for global commodities derivatives trading at Olam Agri, your primary responsibility will be to develop and maintain compliance operations to ensure alignment with business activities and regulatory expectations. You will play a crucial role in managing daily compliance operations, overseeing controls, liaising with various stakeholders, and assisting in enhancing the compliance program. Key Responsibilities: - Manage daily compliance operations for commodities trading, including trade surveillance, regulatory reporting, position limit monitoring, and management reporting. - Ensure the efficiency and effectiveness of controls managed by the o...

Role Overview: You will be joining the dynamic Compliance team as a Sr Specialist, Trade Surveillance Manager. Your main responsibility will be to oversee the surveillance of commodity derivatives trading activities to detect and prevent market abuse. The ideal candidate for this role should be experienced, detail-oriented, and have a good understanding of commodity markets. Key Responsibilities: - Lead and perform hands-on, real-time and post-trade surveillance of commodity derivative trades to identify potential market abuse, manipulative trading patterns, or policy breaches. - Utilize and configure trade surveillance systems such as NASDAQ SMARTS, NICE Actimize, or similar platforms to en...

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...

Role Overview: We are looking for a dynamic and accountable Technical Project Manager with a solid foundation in Java application development , proven experience in Trade Surveillance , and excellent communication skills to collaborate effectively with stakeholders, especially in Australia. The ideal candidate will be responsible for managing end-to-end delivery of technology projects in the financial domain, ensuring compliance, quality, and timely execution. Key Responsibilities: Project & Stakeholder Management: Lead and manage multiple technical projects with a focus on trade surveillance systems. Engage with Australian stakeholders and global teams to gather requirements, provide update...

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 ...

You will be serving as a function/business/product compliance risk senior analyst for Independent Compliance Risk Management (ICRM). Your responsibilities include assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of laws, rules, or regulations. You will design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protects the franchise. Additionally, you will engage with the ICRM Product and Function coverage teams to develop and apply CRM program solutions that meet the function/business/product and customer needs. Your primary responsibilities will involve monitoring compliance risk behav...

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...

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Job Description Individuals will be part of the GBS - GCOR - Compliance Information Barrier Surveillance group supporting one of the global regions AMRS, EMEA and APR. Individual will be responsible for monitoring trading activities across multiple asset classes for market abuse. The individuals will also be responsible for investigating potential compliance/control room issues with multiple levels of management for appropriat...

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for of...

Job Description Job summary: At Compliance Conduct and Operational Risk division, as a trade surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the information barrier and restricted list policies. The trade surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements. Job Respons...

As part of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in ensuring the firm's strength and resilience. Anticipating emerging risks and using your expert judgement are key in growing the business responsibly and addressing real-world challenges affecting the company, customers, and communities. The culture in Risk Management and Compliance encourages thinking outside the box, challenging the status quo, and striving for excellence. **Key Responsibilities:** - Review applicable communications surveillance alerts and communications subject to first-level review to identify unusual activity and potential compliance issues. - Collaborate with business and compliance ...

In this role as a Trade Surveillance Officer at Tradeweb, you will be responsible for providing trade surveillance coverage across Tradeweb's European trading venues. The European trade surveillance team closely monitors and analyzes trading activities to detect potential violations of regulatory requirements. Your role will involve collaborating with various teams within the company to ensure the integrity of Tradeweb's markets. Your key responsibilities will include: - Ensuring daily execution of internal procedures to maintain fair and orderly European markets - Monitoring order and trade activity using available systems to identify potential market abuse or other behavior that may harm m...

Key Responsibilities: Preferred Qualifications At least 3 years of experience as Business Analyst This would translate to the fact that the candidate should be able to work both with the business partners and the technology teams very closely in a daily basis to assist in defining the capability and being involved throughout the build process Experience working in Financial Services industry preferably Risk Compliance AML Investment Banking Capital Markets Trade Surveillance Operational Risk Credit Risk space At least 4 years of experience in creating requirement specifications based on Architecture Design Detailing of Processes At least 4 years of experience in capturing requirements relate...

Role Overview: At PwC, the focus in data and analytics is on leveraging data to drive insights and make informed business decisions. As a Data Analyst at PwC, you will utilize advanced analytics techniques to extract insights from large datasets and support clients in solving complex business problems through data-driven decision-making. Your role will involve skills in data manipulation, visualization, and statistical modeling to optimize client operations and strategic goals. Key Responsibilities: - Develop, validate, audit, and maintain AI/ML/NLP models for Fraud/AML/Credit risk - Support financial institutions in meeting regulatory requirements and risk management initiatives - Utilize m...

Role Overview: As a highly skilled Trade Surveillance Engineering Lead, you will be responsible for designing, building, and managing next-generation trade surveillance systems. Leading a team of engineers, you will develop scalable, high-performance solutions to detect and monitor market abuse, insider trading, and regulatory breaches across asset classes. Your deep knowledge of trade surveillance platforms and strong engineering leadership will be instrumental in delivering innovative, compliant, and efficient solutions. Key Responsibilities: - Lead the design, development, and maintenance of trade surveillance systems and workflows. - Collaborate with compliance, risk, and business stakeh...

Compliance Analyst Focus on Code of Ethics & Firm trading monitoring and surveillance Job Location is Mumbai, Goregaon East Key Responsibilities Code of Ethics monitoring Onboard/offboard employees to/from our StarCompliance/Financial Tracking System platform Assist with preclearance and monitoring tasks related to the Firm's personal trading policy Investigate potential personal trading policy violations, escalating issues and documenting resolution Firm Trading/Control room Conduct daily trade surveillance, including trade blotter reviews and exception reporting Maintain Firm's list of restricted issuers Conduct trade allocation back testing Email surveillance Assist team with email survei...

As a Surveillance Testing Officer, you will play a crucial role in enhancing the surveillance accuracy and efficiency within the firm. Your responsibilities will include: - Evaluating alert quality, false positive rates, and parameter thresholds to make recommendations for tuning and configuration. - Performing scenario-based and continuous testing of surveillance logic to ensure effective capture of relevant behaviors. - Designing, implementing, and maintaining a risk-based surveillance framework for comprehensive monitoring of global trading activity. - Conducting daily post-trade surveillance reviews to identify potential market abuse or integrity concerns and promptly escalate issues. - ...