4 Trade Surveillance Jobs

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

About this role: Wells Fargo is seeking a Business Execution Associate -Business Aligned Supervisory Officer supporting the Corporate and Investment Banking (CIB) Markets business. In this role, you will: Participate in planning and executing a variety of programs, services, and initiatives, and monitor key indicators to ensure effective performance and control management of assigned operations or business groups Review basic initiatives including policy or process changes, process improvements, technology enhancements, and conduct regular reviews to identify efficiencies and cost savings opportunities Receive direction from leaders and exercise independent judgement while developing an understanding of policies and procedures, best practices, and initiatives Collaborate and consult with mid-level managers or cross-functional business partners Provide work direction to less experienced Strategy and Execution staff Be part of the front-line Business Aligned Supervisory Support team and responsible for review, research and disposition of trade surveillance/ transaction monitoring alerts to identify potential misconduct and policy breaches across asset classes supporting the CIB Markets business. Perform CIB Markets controls and activities across asset classes for compliance with regulatory and internal requirements. Identify any non-compliant activity and escalate questionable trading activity to the onshore team (L2 team); support remediation where required. Collaborate and consult with onshore teams and India Management for any escalations and process improvement ideas. Partner with internal stakeholders (Controls, Compliance, Line of Business Chief Operating Officers) ensure adherence to the banks supervisory framework and to maximize efficiencies. Remain updated on developments and changes concerning relevant regulatory rules/regulations and policies. Actively participate in team meetings. Bringing solutions / suggestions / recommendations to the table. Develop, oversee, and provide independent credible challenge to standards with subject matter expertise. Assist with analysis and implementation of new and enhanced business controls and processes. Required Qualifications: 6+ months of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Experience in trade surveillance, transaction monitoring, information barriers, or equivalent including direct experience reviewing alerts in trade surveillance role. Ability to work in a matrix global organization structure. Strong financial products and financial markets knowledge. Proficient knowledge of data sets for trading in Markets products, including but not limited to quotes, orders and executions. Knowledge of U.S., U.K. and Asia regulations. Ability to handle multiple tasks in a fast-paced environment. Strong written communication and verbal communication skills in English. Excellent analytical skills and strong attention to detail. Must exhibit highest standards of integrity and maintain confidentiality. Experience in creating MIS and capability to work with business analytics tools (PowerBI, Tableau, Qlickview, MS Dynamics). Bachelors/masters degree or any professional degree (CA/CS/CFA etc.) is required. 3 to 5 years of supervisory and surveillance controls experience in a global bank.