34 Trade Surveillance Jobs

As a Securities Operations Specialist at Wells Fargo, you will be responsible for participating in low to moderately complex lifecycle support initiatives within Securities Operations. Your key responsibilities will include: - Reviewing and analyzing basic or tactical functional operational tasks, exercising independent judgment related to low-to-medium risk deliverables - Providing information, collaborating, and consulting with peers, colleagues, and managers to resolve issues and achieve goals - Resolving escalated issues within the scope of responsibility in Security Operations - Researching business risks, providing input into policies, enhancing customer satisfaction, and reviewing tim...

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...

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 ...

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 produ...

About this role: Wells Fargo is seeking a Software Engineering Manager In this role, you will: Manage, coach, and develop a team of individual contributor engineer roles with low to moderate complexity and less experienced managers who are responsible for building high quality capabilities with modern technology Ensure adherence to the Banking Platform Architecture, and meeting non-functional requirements with each release Engage with architects and experienced engineers to incorporate Wells Fargo Technology technical strategies, while understanding next generation domain architecture to enable application migration paths to target architecture; for example, cloud readiness, application mode...

As a skilled Business Analyst with 6-12 years of experience in Investment Banking and Capital Markets, you will be responsible for specializing in Trade Surveillance, Investment Banking, and Risk Management. Your primary role will involve gathering, documenting, and validating business requirements (BRD/FSD), performing Gap Analysis, supporting UAT execution, and working with trade surveillance tools such as Actimize. Additionally, you will conduct SQL/data analysis to validate requirements and collaborate with stakeholders across various domains. Key Responsibilities - Gather, document, and validate business requirements (BRD/FSD). - Perform Gap Analysis and propose effective solutions. - S...

About Us At Bank of America, you are part of a company driven by a common purpose to improve financial lives through meaningful connections. Our commitment to Responsible Growth shapes every aspect of our operations, ensuring we deliver for our clients, teammates, communities, and shareholders consistently. Creating a diverse and inclusive workplace is essential to driving Responsible Growth, which is why we value individuals from various backgrounds and invest significantly in their well-being through competitive benefits for their physical, emotional, and financial health. Emphasizing collaboration and flexibility, we strive to offer a work environment that suits the diverse roles within o...

Genpact is a global professional services and solutions firm that strives to shape the future through the relentless pursuit of a world that works better for people. With a workforce of over 125,000 individuals across more than 30 countries, we are committed to delivering outcomes that create lasting value for our clients, including leading enterprises such as the Fortune Global 500. Our team is characterized by innate curiosity, entrepreneurial agility, and expertise in areas such as data, technology, and AI. We are currently seeking a Lead Consultant - QA Automation to join our team. As a QA Automation Engineer at Genpact, you will play a pivotal role in designing, developing, and executin...

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 Responsibilities: Reviewing Trade su...

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...

Job Title: Business Analyst Trade Surveillance Location: PAN India Experience: 612 Years About The Role We are looking for a skilled Business Analyst with strong expertise in Trade Surveillance, Investment Banking, and Risk Management. The role includes requirement gathering, gap analysis, stakeholder management, UAT, and working with trade surveillance tools along with SQL/data analysis. Key Responsibilities Gather, document, and validate business requirements (BRD/FSD). Perform Gap Analysis and propose effective solutions. Support UAT execution and defect management. Configure and test trade surveillance tools (e.g., Actimize). Conduct SQL/data analysis to validate requirements and investi...

As a Lead Compliance Officer at Wells Fargo, you will play a crucial role in overseeing and monitoring business group risk-based compliance programs. Your responsibilities will include maintaining compliance risk expertise, providing consulting for projects and initiatives with moderate to high risk across multiple business lines, and ensuring compliance with federal, state, agency, legal, regulatory, and Corporate Policy requirements. You will be tasked with establishing, implementing, and maintaining risk standards and programs to drive compliance, overseeing the Front Line's execution, and providing independent credible challenge to standards with subject matter expertise. Additionally, y...

Do you have a passion for financial markets and a knack for handling and interpreting large data sets Are you an analytical individual who enjoys investigating financial transactions, understanding trading strategies, and making sense of unusual trading activity Can you think independently and confidently express your opinions and ideas If so, we are looking for a Senior Trade Surveillance Analyst with experience in the following: - Performing manual market conduct surveillance activities across Investment Bank and Wealth Management division. - Performing QA for manual & automated controls related to market conduct taxonomy. - Engaging with business stakeholders on market conduct-related esc...

Do you have a passion for financial markets and excel in handling and interpreting large datasets Are you an analytical thinker who enjoys investigating financial transactions, understanding trading strategies, and making sense of unusual trading activity Can you confidently express your opinions and ideas while thinking independently If so, we are seeking a Senior Trade Surveillance Analyst with experience in the following key areas: - Performing manual market conduct surveillance activities across the Investment Bank and Wealth Management division. - Conducting QA for manual & automated controls related to market conduct taxonomy. - Engaging with business stakeholders on market conduct-rel...

Job Description Senior Associate, Compliance & Control Trade Surveillance Pune At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the worlds financial system we touch nearly 20% of the worlds investible assets. Every day around the globe, our 50,000+ employees bring the power of their perspective to the table to create solutions with our clients that benefit businesses, communities and people everywhere. We continue to be a leader in the industry, awarded as a top home for innovators and for creating an inclusive workplace. Through our unique ideas and talents, together we help make money work for the world. This is what is a...

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...

At Accenture, we believe your career is about what you want to be and who you want to be. It's about bringing your skills, your curiosity, and your best true self to your work. Here, you'll match your ingenuity with the latest technology to do incredible things. Together, we can create positive, long-lasting change. We are Strategy & Consulting Global Network at Accenture, empowering our people to compete, win, and grow. We develop everything they need to expand their client portfolios, optimize their deals, and enable their sales talent, all driven by sales intelligence. Join our Solution Advisory team, a specialty service within Strategy & Consulting Global Network, aligned to Accenture's ...

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 a Senior Trade Surveillance Analyst at UBS, you will be responsible for performing automated and manual market conduct surveillance activities across the Investment Bank and Wealth Management division. Your role will involve analyzing potentially suspicious activities flagged by systems, engaging with business stakeholders on market conduct-related matters, and driving continuous process improvements. You will also contribute to strategic projects and automation/optimization initiatives. In this individual contributor role, you will be part of the Market Conduct Surveillance Team in Pune. Your responsibilities will include learning about UBS and its clients" trading strategies, understand...

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...

You should have at least 3 years of experience as a Business Analyst, involving close collaboration with both business partners and technology teams on a daily basis to define capabilities and support the build process. Your experience should be in the Financial Services industry, particularly in Risk Compliance, AML, Investment Banking, Capital Markets, Trade Surveillance, Operational Risk, and Credit Risk. Additionally, you should have a minimum of 4 years of experience in creating requirement specifications based on Architecture Design Detailing of Processes, as well as in capturing requirements related to internal and external consulting, documenting, and mapping current business process...

Hiring, Senior Manager, Investment Compliance Monitoring with below skills and expertise. You must have hands on experience in Trade Surveillance and Ecomm Surveillance along with people management. Preferably 10+ years of experience in a Compliance or assurance-type role within the financial services industry. Firm understanding of concepts and practices relating to monitoring and surveillance. Strong analytical skills and experience performing thematic reviews or audits would be beneficial. Excellent written and verbal communication skills. Proven ability to coordinate and work with teammates and stakeholders across multiple locations. Strong organizational skills, capacity to work under p...

Hiring, Senior Manager, Investment Compliance Monitoring with below skills and expertise. You must have hands on experience in Trade Surveillance and Ecomm Surveillance along with people management. Preferably 10+ years of experience in a Compliance or assurance-type role within the financial services industry. Firm understanding of concepts and practices relating to monitoring and surveillance. Strong analytical skills and experience performing thematic reviews or audits would be beneficial. Excellent written and verbal communication skills. Proven ability to coordinate and work with teammates and stakeholders across multiple locations. Strong organizational skills, capacity to work under p...

At PwC, the focus in data and analytics is on leveraging data to drive insights and make informed business decisions. Advanced analytics techniques are utilized to help clients optimize operations and achieve strategic goals. In the role of data analysis at PwC, you will concentrate on using advanced analytical techniques to extract insights from large datasets and enable data-driven decision-making. Your responsibilities will include leveraging skills in data manipulation, visualization, and statistical modeling to assist clients in solving complex business problems. A Fraud/AML Risk Analytics Professional at PwC will be responsible for developing, validating, auditing, and maintaining AI/M...

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 ...