20 Trade Surveillance Jobs

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 all about . Were 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, youll 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 surveillance alerts through various trade surveillance systems Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues. Identify and escalate any potential concerns or risks relating to - but not limited to - regulatory rules such as MAR, MIFID 2 and firmwide policies As an experienced team member, suggests changes to improve work processes, counsels employees, and business personnel on compliance with policies and guides lower-level peers on procedures and reviews the quality of their work. With minimal guidance, researches and collects data on compliance and control-related activities. Compiles data into a useable format for more senior team members and may conduct basic, preliminary analyses of collected data. May review the work completed by more junior support staff for accuracy and completeness. Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy. With minimal guidance, recommend remedial action if/when issues arise within the team or found within the output of work conducted by 1LoD/Primary review. Preferred e xperience with Trading Hub surveillance system or similar trade surveillance platforms. To be successful in this role, were seeking the following: BA/BS degree (Finance, Economics, or Business degree preferred) Minimum of 2 to 4 years surveillance or regulatory experience. Knowledge of equity and fixed Income cash and derivatives (swaps, CDS, OTC options, treasuries, corporate bonds, agency securities, and financial futures) products. Good knowledge of market abuse regulations and potential market abuse-related scenarios Able to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging Knowledge of FINRA, SEC (including security-based swaps), CFTC Dodd Frank, and NFA/CME regulations as well as Treasury Market Best Practices. Working knowledge of various trade surveillance monitoring systems. Strong verbal and written communication skills. Ability to interact with front office and technology personnel. Strong analytical and project management skills. Strong Excel and/or data analysis skills Ability to think creatively to solve problems and anticipate potential questions or issues. Effective time management and prioritization; strong multi-tasking abilities. Excellent judgment in handling sensitive and confidential information. At BNY, our culture speaks for itself. Heres a few of our awards: Americas Most Innovative Companies, Fortune, 2024 Worlds Most Admired Companies, Fortune 2024 Human Rights Campaign Foundation, Corporate Equality Index, 100% score, 2023-2024 Best Places to Work for Disability Inclusion , Disability: IN 100% score, 2023-2024 Most Just Companies, Just Capital and CNBC, 2024 Dow Jones Sustainability Indices, Top performing company for Sustainability, 2024 Bloombergs Gender Equality Index (GEI), 2023 Our Benefits And Rewards BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your lifes journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter. BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans. Show more Show less

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.,

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 priority business offerings. We are solutioning specialists with expertise in how we go-to-market, build our value proposition, and position our win strategy to our clients. This role involves joining the CFO&EV Finance team in Europe to focus specifically on Risk & Compliance, working closely with the Risk & Compliance Europe lead. As a Solution Advisory Senior Manager for CFO&EV, you will build strategic relationships with offering leadership, provide thought leadership, shape solutions in proposals, and advise financial and non-financial institutions across risk management areas such as risk strategy, transformation programs, enterprise risk, portfolio management, capability maturity assessments, fraud, and financial crime risk compliance. Your responsibilities will include researching sales opportunities, identifying targets, designing compelling sales messages, assets, and materials, as well as helping prioritize solution advisory focus across different offerings and geographies within CFO&EV R&C EMEA leadership. Requirements: - Bachelor's degree in business or engineering from a premier institution - Minimum of 8 years in sales or consulting at a top-tier consulting firm or 14 years of functional experience in Risk and Compliance - Expertise in areas such as credit risk measurement, market risk management, operational risk management, liquidity risk measurement, reporting, and management - English language fluency (oral and written) - Must support/mirror working hours to support Europe - Must be flexible with working hours to meet shifting business needs - Must have good internet connectivity and a distraction-free environment for working at home, following local guidelines Bonus points if you have: - Experience in Sales and Business Development - Hands-on experience in various financial instruments and risk calculations - Treasury experiences in Asset Liability Management, Fund Transfer Pricing, and Interest Rate Risk in Banking Book - Experience in enterprise risk management, financial crime and compliance, risk regulatory framework, and risk platforms If you are well-versed in winning consulting work, have an executive presence, deep expertise in the topic area, and possess excellent communication and relationship-building skills, we invite you to join our team at Accenture and make a meaningful impact in the world of Risk & Compliance.,

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 is essential. Prior experience with Trade Surveillance, Voice, and Communication Surveillance applications will be highly preferred. Additionally, you must have the ability to prototype surveillance solutions, assess data quality, and validate detection logic. A strong knowledge of relational databases and proficiency in writing SQL queries will be required to validate use cases and requirements. You should also possess the proven ability to document functional specifications, data mappings, and related artefacts. Exposure to SDLC processes and development methodologies (Agile, Waterfall), including Trade Life Cycle and Scrum ceremonies, is important. Experience in business analysis, requirement mapping across upstream/downstream systems, and working on Front-to-Back changes will be beneficial. Strong experience in determining business scenarios, conducting gap analysis, and preparing Business Requirement Documents (BRD) and Functional Requirement Documents (FRD) using agile scrum frameworks is desired. Global certifications like CFA, FRM, CQF, CPRE, CBAP, or SAFe PO/PM are highly desirable for this role. If you meet the above criteria and are ready to thrive in a fast-paced environment, we encourage you to apply for this exciting opportunity in Gurgaon. Join our team and make a significant impact in the banking, risk, and financial domains.,

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, understanding regulatory frameworks of exchanges and markets, investigating flagged events, preparing investigative reports, and actively participating in team discussions, investigations, and knowledge sharing. Additionally, you will work in an international team with a regional mandate. To excel in this role, you should have at least 10 years of relevant work experience in the Trade Surveillance domain, with a strong knowledge of Investment Banking and Wealth Management businesses, financial markets, products, and trade lifecycles. You should be capable of independently investigating and reviewing alerts generated by surveillance systems and conducting market conduct investigations for complex cases. Furthermore, experience in engaging with external surveillance vendors and advocating for system/control design changes will be beneficial. UBS is the world's largest and the only truly global wealth manager, operating through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management, and the Investment Bank. With a presence in over 50 countries, UBS offers a diverse and inclusive work environment that values collaboration, diversity, and individual empowerment. Join UBS and be part of a team dedicated to ongoing success, with a focus on new challenges, a supportive work environment, opportunities for growth, and flexible working options. UBS is committed to disability inclusion and offers reasonable accommodations throughout the recruitment process. As an Equal Opportunity Employer, UBS values and respects the diverse cultures, perspectives, skills, and experiences within its workforce.,

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

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 processes. Experience in developing, configuring solutions, evaluating, validating, and deploying them is essential. Your role will require at least 3 years of experience in Business Analysis Skills, including requirements analysis, elicitation, and Agile Methodologies. Strong analytical and communication skills are crucial, along with the ability to present effectively to senior leadership, manage communication between business and technology teams, and demonstrate planning and coordination skills. Experience with project management, SQL, PLSQL, and Information Technology is necessary. A Bachelor's degree or equivalent is required, along with proficiency in Capital Markets, Regulatory Reporting, Equities, Derivatives, AML, Trade Surveillance, Data Analysis, SQL, BRD, and FSD. The role may involve working in a management consulting environment with regular travel requirements. Preferred skills include expertise in Regulatory Reporting Systems within the Technology domain. You must be located within commuting distance of Chennai, Hyderabad, Pune, or Bangalore, or be willing to relocate to these areas to fulfill the job responsibilities.,

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 pressure & remain motivated while completing routine tasks. Key Responsibilities: Provide oversight and guidance to members of the Investment Compliance Surveillance and Monitoring teams. Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritisation. Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations. Lead the development of dashboards, management reports, and papers for governance committees. Lead the implementation of the delivery roadmap for new surveillance systems and establish/expand existing market abuse controls. Handle investigations and escalations related to reviews performed by compliance team members on market abuse monitoring tools and employee communications on platforms such as email, Bloomberg, Zoom, Voice, or Teams. Assist in creation/update of policies & procedures, keeping abreast of regulatory changes and their impact. Ensure market abuse and communications monitoring tools are appropriately calibrated. Maintain day-to-day relationships with vendors of compliance monitoring tools. Ensure governance processes are implemented and followed for all supported activities, including SLAs, SOWs, timeliness, daily checklists, and monthly metrics reporting. Build and retain a high-performing team, including acquiring the right talent, providing training, career development, performance management, and succession planning.

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 pressure & remain motivated while completing routine tasks. Key Responsibilities: Provide oversight and guidance to members of the Investment Compliance Surveillance and Monitoring teams. Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritisation. Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations. Lead the development of dashboards, management reports, and papers for governance committees. Lead the implementation of the delivery roadmap for new surveillance systems and establish/expand existing market abuse controls. Handle investigations and escalations related to reviews performed by compliance team members on market abuse monitoring tools and employee communications on platforms such as email, Bloomberg, Zoom, Voice, or Teams. Assist in creation/update of policies & procedures, keeping abreast of regulatory changes and their impact. Ensure market abuse and communications monitoring tools are appropriately calibrated. Maintain day-to-day relationships with vendors of compliance monitoring tools. Ensure governance processes are implemented and followed for all supported activities, including SLAs, SOWs, timeliness, daily checklists, and monthly metrics reporting. Build and retain a high-performing team, including acquiring the right talent, providing training, career development, performance management, and succession planning.

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/ML/NLP models for Fraud/AML/Credit risk. Candidates are expected to support financial institutions in meeting jurisdictional regulatory requirements and broader risk management initiatives. Key responsibilities include: - Developing and validating AI/ML/NLP models for Fraud/AML/Credit risk - Supporting financial institutions in meeting regulatory requirements and risk management initiatives - Utilizing advanced analytics techniques to extract insights from large datasets - Leveraging skills in data manipulation, visualization, and statistical modeling - Building meaningful client connections and learning to manage and inspire others - Growing personal brand and deepening technical expertise - Delivering quality work while embracing ambiguity and seeking opportunities to grow Core Skill Requirements: - 3-7 years of experience in Machine Learning/Artificial Intelligence, Natural Language Programming, Statistical/Mathematical modeling, quantitative research, Fraud/AML risk management, or related Credit Risk field - Proficiency in Machine learning algorithms like Random Forest, SVM, Neural Network, etc. - Experience in AML Scenario development, enhancement, and initial threshold setting and tuning - Proficiency in analytical tools such as Python, PySpark, Data Science, and cloud-based analytics - Business knowledge in transaction monitoring system, sanction screening, trade surveillance - Strong knowledge of fraud data analysis, strategy design, and delivery deployment Non-functional Skill Requirements: - Understanding of market trends and demands in the financial services sector - Excellent oral and written communication skills - Solid analytical and problem-solving skills - Process orientation with attention to detail - Industry knowledge of financial products - Willingness to travel to meet client needs Educational Background: - Master's degree or higher in a quantitative discipline - Industry relevant certifications such as CQF, FRM, CFA, CPA are a plus Additional Requirements For Senior Positions: - Consulting skills to structure and conceptualize solutions for complex problems - Experience in leading large risk analytics engagements independently - Ability to support sales pursuits for risk analytics offerings - Strong conceptual understanding of various functional/technical skills - Ability to drive innovation and thought leadership in risk management This role at PwC offers the opportunity to work with cutting-edge technologies and make a significant impact in the field of data analytics and risk management.,

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 in nature and are responsible for overseeing and implementing enterprise-wide compliance policies and procedures. Those teams include the Global Compliance Control Group (Control Room) including information barrier/personal investment policy surveillance, Personal Account Dealing Team, Equity Aggregation Team, Registration and Licensing teams. These compliance operations teams cover lines of business and enterprise functions globally as they relate to the underlying team responsibilities. In this role, you will: Manage and lead team with the implementation of the companywide compliance program with high risk complexity Manage and develop the execution and challenges on compliance related decisions Direct and oversee complex regulatory environments including establishing standards Oversee the Front Line's execution and challenges appropriately on compliance related decisions Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the companywide compliance program Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements Recommend opportunities for process improvement and risk control development Identify reporting, escalation, timely remediation of issues and deficiencies or regulatory matters regarding compliance risk management Make decisions and resolve issues to meet business objectives Interpret policies, procedures, and compliance requirements Interface and foster relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics Lead team to achieve objectives Manage allocation of people and financial resources for Compliance Develop and guide a culture of talent development to meet business objectives and strategy Required Qualifications: 18+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education 5+ years of management or leadership experience Desired Qualifications: Experience managing some or all of the following compliance teams: global Control Group teams (Control Room), Personal Account Trading, trade surveillance, outside activities, equity aggregation (large shareholder monitoring and reporting), insurance licensing and registration. Experience overseeing the implementation of a large strategic technology book of work. Focus on Global Control Group preferable Knowledge and understanding of compliance practices and methodologies, including risk assessment, monitoring, and testing activities, regulatory change Experience developing or enhancing programs that seek to address business or regulatory changes affecting current processes within an organization Experience building or maintaining key relationships across departments and functions, and establishing a culture of engagement Proven ability to positively and creatively influence change and champion critical change initiatives; help others to anticipate and manage through change Ability to work in a highly complex organization and influence the outcomes of decisions to ensure the most appropriate risk posture in a rapidly changing environment Ability to think beyond the risks today and those related to immediate activities, and to look at the risks associated with emerging technologies, capabilities and activities that could drive risks we have not previously managed Ability to create new policy, guidance, and/or guardrails in areas where there is no roadmap, rules, or previous foundation to rely upon Professional maturity and confidence in expressing a point of view with senior management Proven ability to share lessons learned and best practices across an organization Experience in project management, including the development of overall project objectives, deliverables, and strategies; identification of dependencies; and maintenance of ongoing documentation supporting project status, including core risks and obstacles. Extensively influences and negotiates with senior management, executive sponsors, and other key Anticipates emerging issues and develops strategies to meet business needs Job Expectations: Candidate will report directly to the Head of India and Philippines Compliance and have a functional dotted line to the Compliance Executive for Enterprise Compliance Operations and Conduct Risk and will work in close collaboration across and within the ECO and Conduct Risk leadership team to help achieve the teams strategic objectives and goals. Specific duties for this position include, but are not limited to: Build and retain high performing teams to assist the Candidate in achieving ECO teams strategic objectives and goals. Work closely with Compliance Program Strategy, Planning & Governance, and other Enterprise Risk Program owners to evaluate technology needs and identify technology solutions to support target state. Oversee the continued implementation of the Compliance Framework to minimize the risks associated with a highly operational compliance teams with global footprint covering most businesses, and high compliance and regulatory risk processes Drive the harmonization and rationalization of applicable compliance policies and procedures across the Teams Lead the build out of the Teams key risk and key performance indicators (KRIs and KPIs) and supervisory controls Partner with the Compliance Technology and Project Management Office to help identify and track the current manual controls that will become automated through the implementation of the IT strategic book of work Offer solutions and recommendations on how to simplify the Teams processes, improve the control framework, and assist in implementing those ideas to help achieve operational excellence and minimize compliance and regulatory risk Assist in driving the harmonization and rationalization of applicable compliance policies and procedures across the ECO teams and ensure timely updates pursuant to Risk Policy requirements Provide direct input into the ECO teams periodic Compliance Management Reporting to the Chief Compliance Officer for Compliance Risk Committee Ensure appropriate and timely identification and escalation of issues and emerging risks Oversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues Lead and actively participate as a key member of the ECO and Conduct Risk leadership team and India & Philippines Compliance Leadership meetings

Role & responsibilities We are hiring for a leading global investment bank looking for an experienced professional to join its Market Surveillance team . The role involves reviewing trading activity and communications to detect potential signs of market abuse, insider trading, and policy breaches. The ideal candidate will have a strong understanding of regulatory frameworks and hands-on experience with surveillance tools. Preferred candidate profile

As a Compliance Officer at Tower Research Capital LLC, you will play a crucial role in the Compliance Surveillance team based in India. Your responsibilities will include conducting daily post-trade surveillance monitoring to detect potential market abuse or integrity issues promptly. You will need to collaborate with business partners and senior stakeholders to address and escalate identified issues effectively. Additionally, you will be involved in responding to regulatory requests for information and supporting the enhancement of the firm's surveillance platform. Your qualifications should include a minimum of 3 to 5 years of experience in trade surveillance within a financial institution, familiarity with Nasdaq Trade Surveillance (SMARTS) tool, and the ability to design, test, and calibrate surveillance models. A solid understanding of Market Conduct/Market Abuse rules and regulatory frameworks is essential. Strong analytical skills, attention to detail, and effective communication capabilities are key requirements for this role. In this position, you will also be responsible for reviewing and drafting internal procedures, policies, and guidance as needed. You may be involved in ad-hoc project work directed by the regional or global compliance team. Preferred qualifications include knowledge of coding languages like SQL and Python, as well as exposure to technical aspects of high frequency/algorithmic trading. Tower Research Capital offers a competitive salary, performance-based bonuses, 5 weeks of paid vacation annually, and various benefits such as daily meals and snacks, health club allowances, and cab facilities within Gurgaon. Join our team in the dynamic and innovative environment of Tower Research Capital, where your proactive approach, attention to detail, and financial market knowledge will be valued.,

Role: Team Manager: Market Surveillance Location: Pune Package up to 14 LPA Key Responsibilities: Monitor market activity, including trade volumes, order flows, and communications, to detect potential misconduct (e.g., insider trading or market manipulation). Conduct deep-dive investigations into alerts generated by trade and communication surveillance systems. Identify and escalate potential regulatory breaches or policy violations. Collaborate with global teams to enhance surveillance frameworks and ensure consistency across regions. Contribute to the enhancement of existing alerts and development of new surveillance tools, reports, and procedures. Provide timely reports to management, regulators, and internal stakeholders. Support projects related to regulatory audits, data quality, model effectiveness, and control environment improvements. Maintain and build strong working relationships with internal stakeholders across Compliance, Risk, and Front Office teams. Mandatory Experience: Minimum 4-6 years of experience in Market Surveillance with a strong focus on Fixed Income products. Deep understanding of trading practices, financial instruments, and market abuse typologies in the Fixed Income domain. Strong analytical and investigative skills. Excellent communication and stakeholder management abilities. Familiarity with global regulatory frameworks and guidelines Ability to identify trends and risks in large data sets. Experience supporting internal/external regulatory audits. Knowledge of industry surveillance tools (e.g., Actimize, SMARTS, NICE, Bloomberg Vault). To know more Call Kanika on 9953939776 or email resume to kanika@manningconsulting.in

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

Position Purpose The number of surveillance models that are being deployed for compliance is expanding at a very fast pace. This expansion is being driven by new regulations and by an increase in the recommendations that are the output of internal and external audits and regulatory visits. This expansion will also increase the alert population and surveillance coverage and will require additional staff to investigate each occurrence to determine whether there is sufficient reason to generate a suspicious activity report. The risk type currently covers both Trade Surveillance (e.g. insider trading, manipulation, Historical Behavioural Pattern, Watchlist etc) Electronic Communication Surveillance (e.g. use of unauthorized communication channel, data leakage, inappropriate sharing of MNPI/confidential information etc) responsible for managing day to day compliance responsibilities and work closely with the local, regional and global team on compliance related matters pertaining to the Bank as well as local regulatory requirements Responsibilities Trade Surveillance Direct Responsibilities Review, analyse and close alerts generated by an automated monitoring system at LEVEL1 in accordance with relevant review process as defined in the operating guidelines As necessary, use available research tools to identify publicly available information concerning transactions to be identified for further investigation. Escalate alerts for transactions deserving further investigation to Level 2. Contributing Responsibilities Obtain and upload alert analysis results and relevant material for record keeping purposes and conclude the alerts within the indicative target timelines without compromising the quality and completeness of the analysis Ensure escalation of alerts to Level 2 Investigator is proper, in a timely manner and supported by relevant information and due diligence search results. Collaborate and work in tandem with team members and relevant stakeholders. Be supportive and adoptive to changes of procedures and scope of work. Meet the QA requirements and the expected daily alert closure volume o Complete all mandatory training as required to attain and maintain competency ECOMM Surveillance Direct Responsibilities o Review email and other electronic communications of bank employees for adherence to firm and regulatory rules and requirements. o Detect, review and report potentially suspicious activities. o Use any available research tools to identify publicly available information concerning transactions and communications identified for further investigation. o Conducting both routine and special inquiries as required or requested. o Performing routine administrative duties and reviews o Working with local Compliance managers to resolve instances of apparent breaches from firm and regulatory rules o Proactive and timely escalation of issues (including those from investigations) with adequate supporting information to the Monitoring Manager Contributing Responsibilities o Provide day-to-day assistance and support to the local Surveillance teams o Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary. o Assisting in regulatory and internal investigations as assigned by the Compliance Management Team o Assist in preparing management information and reporting regarding surveillance and monitoring activities o Complete all mandatory training as required to attain and maintain competency. Technical Behavioral Competencies o At least 2 years experience in banking /financial industry o A good understanding of capital markets o Familiar with Market Abuse Manipulation types o Good communication skills and eager to learn. o Analytical and with an investigative eye for accurate details and red-flag situations o Ability to work in a team as well as independently. o Ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes. o Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem-solving and an ability to work in a fast-paced, rapidly changing environment Specific Qualifications (if required) Capital Markets Certifications Bachelors degree or higher, in some type of investment banking discipline Skills Referential Behavioural Skills : (Please select up to 4 skills) Ability to collaborate / Teamwork Communication skills - oral written Critical thinking Adaptability Transversal Skills: (Please select up to 5 skills) Analytical Ability Ability to develop and adapt a process Ability to develop others improve their skills Ability to set up relevant performance indicators Ability to develop and leverage networks Education Level: Bachelor Degree or equivalent Experience Level At least 3 years Other/Specific Qualifications (if required) Capital Market Certifications

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 world’s financial system we touch nearly 20% of the world’s 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 #LifeAtBNY is all about . 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 surveillance alerts through various trade surveillance systems Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues. Identify and escalate any potential concerns or risks relating to - but not limited to - regulatory rules such as MAR, MIFID 2 and firmwide policies As an experienced team member, suggests changes to improve work processes, counsel’s employees, and business personnel on compliance with policies and guides lower-level peers on procedures and reviews the quality of their work. With minimal guidance, researches and collects data on compliance and control-related activities. Compiles data into a useable format for more senior team members and may conduct basic, preliminary analyses of collected data. May review the work completed by more junior support staff for accuracy and completeness. Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy. With minimal guidance, recommend remedial action if/when issues arise within the team or found within the output of work conducted by 1LoD/Primary review. To be successful in this role, we’re seeking the following: BA/BS degree (Finance, Economics, or Business degree preferred) Minimum of 3 to 4 years surveillance or regulatory experience. Knowledge of equity and fixed Income cash and derivatives (swaps, CDS, OTC options, treasuries, corporate bonds, agency securities, and financial futures) products. Good knowledge of market abuse regulations and potential market abuse-related scenarios Able to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging Knowledge of FINRA, SEC (including security-based swaps), CFTC Dodd Frank, and NFA/CME regulations as well as Treasury Market Best Practices. Working knowledge of various trade surveillance monitoring systems. Strong verbal and written communication skills. Ability to interact with front office and technology personnel. Strong analytical and project management skills. Strong Excel and/or data analysis skills Ability to think creatively to solve problems and anticipate potential questions or issues. Effective time management and prioritization; strong multi-tasking abilities. Excellent judgment in handling sensitive and confidential information.

Genpact (NYSE: G) is a global professional services and solutions firm delivering outcomes that shape the future. Our 125,000+ people across 30+ countries are driven by our innate curiosity, entrepreneurial agility, and desire to create lasting value for clients. Powered by our purpose - the relentless pursuit of a world that works better for people - we serve and transform leading enterprises, including the Fortune Global 500, with our deep business and industry knowledge, digital operations services, and expertise in data, technology, and AI. Inviting applications for the role of Senior Principal Consultant, Business Analyst - Surveillance. In this role, you will be responsible to build surveillance controls onto the surveillance platform. Responsibilities .Leading discussions as a change agent, to build surveillance controls onto the surveillance platform. .Requirements gathering, support solutioning for Surveillance platform in partnership with TTO. .Responsible for comprehensive UAT test support. .Maintain a robust project governance structure. .Ability to manage stakeholders effectively. Qualifications we seek in you! Minimum Qualifications / Skills . Strong regulatory reporting experience. . Change management skillset exposure, either BA or product owner, backlog management, stakeholder, creating user stories, bringing to closure OR A third party product that is being used for surveillance to view chats, emails, etc. to ensure no confidential info. is shared OR someone with Trade Surveillance experience. . Change management skills. . Strong BA with Agile exp particularly in writing user stories, managing sprints etc needed. . Effective communication and interpersonal skills. . Excellent problem-solving and analytical skills. Preferred Qualifications/ Skills . Bachelor&rsquos degree in business, accounting, IT or any related field. Genpact is an Equal Opportunity Employer and considers applicants for all positions without regard to race, color, religion or belief, sex, age, national origin, citizenship status, marital status, military/veteran status, genetic information, sexual orientation, gender identity, physical or mental disability or any other characteristic protected by applicable laws. Genpact is committed to creating a dynamic work environment that values respect and integrity, customer focus, and innovation. For more information, visit www.genpact.com . Follow us on Twitter, Facebook, LinkedIn, and YouTube. Furthermore, please do note that Genpact does not charge fees to process job applications and applicants are not required to pay to participate in our hiring process in any other way. Examples of such scams include purchasing a %27starter kit,%27 paying to apply, or purchasing equipment or training.

We are seeking an experienced Investment Compliance Manager to join our Capital Markets and Investment Operations division. The ideal candidate will bring deep knowledge of pre- and post-trade compliance, regulatory monitoring, and hands-on expertise with tool like Charles River. You will work closely with global stakeholders, traders, portfolio managers, and audit teams to ensure our investment activities remain compliant with client mandates and regulatory guidelines. Key Responsibilities: Oversee investment guideline monitoring for mutual funds, UCITS, and institutional portfolios, ensuring adherence to SEC 1940 ACT, prospectus, and internal restrictions. Conduct pre-trade and post-trade compliance reviews. Interpret investment mandates and extract rules to build and maintain compliance rule matrices. Manage the transition of clients from legacy systems (e.g., MIG21) to CRD, ensuring accurate rule migration and testing. Lead and mentor a team of analysts , driving performance management, technical training, and process improvement. Collaborate with cross-functional teams for client onboarding, change management, and audit support. Conduct compliance testing, investigations , and root cause analysis on rule violations and trading exceptions. Analyze exception-based reports for AML, market manipulation, and short-term trading risks. Maintain and update restricted securities/watchlists , investment policies, and procedural documentation. Provide compliance reporting and metrics to senior management, regulators, and auditors