68 Trade Surveillance Jobs - Page 2

Job Description: You will be involved in trade surveillance and compliance monitoring during your internship with us. Your responsibilities will include: - Handling queries received from the Exchanges and Depositories and submitting responses to the Regulators. - Coordinating with various business groups to gather rationale and supporting documents. - Preparing daily Management Information Systems (MIS) reports. - Coordinating, developing, testing, and implementing new initiatives aimed at process improvement. Qualifications Required: - Currently pursuing a bachelor's degree in a relevant field. - Strong analytical and problem-solving skills. - Good communication and interpersonal skills. In...

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...

Job Description 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 Rev...

Job Title: Compliance Surveillance (MACM) Location: Kurla Department: Compliance Surveillance About the Role We are seeking a highly motivated Compliance Surveillance professional to join our team. The role involves end-to-end monitoring of trading activities, identifying suspicious transactions, ensuring regulatory compliance, and supporting risk control frameworks. This is an excellent opportunity for candidates with 1–2 years of compliance/surveillance experience in broking or capital markets who are looking to grow their career with a reputed financial services organization. Key Responsibilities: Monitor client trading activities across order book, trade data, and other market data sourc...

As a Senior Technology Consultant specializing in Capital Markets (CM) core modernization and transformation projects at EY, you will play a crucial role in leading and managing a team of technology consultants to deliver large technology programs effectively as a project manager. Your deep experience in financial services will be instrumental during client discussions, where you will be expected to convince clients of the proposed solutions. Your responsibilities will include: - Demonstrating expertise in one or more of the following Capital Markets areas: - Trade Surveillance: showcasing knowledge and experience in trade surveillance scenarios and market misconduct behaviors - Actimize: pr...

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 Surveilla...

The number of surveillance models that are being deployed for FOCS 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. Responsibilities Direct Responsibilities o Review analyse and investigate market abuse trading activity generated by an automated monitoring system AT LEVEL 1 in accordance with relevant review pr...

Role Overview: As a Senior Trade Surveillance Analyst at UBS, your primary responsibility will be to perform automated and manual market conduct surveillance activities across the Investment Bank and Wealth Management division. You will analyze potentially suspicious activities flagged by systems, engage with business stakeholders on market conduct-related matters, and drive continuous process improvements. Additionally, you will contribute to strategic projects and automation/optimization initiatives. Key Responsibilities: - Learn about UBS and its clients" trading strategies - Understand regulatory frameworks of exchanges and markets - Investigate flagged events and prepare investigative r...

As a trade surveillance personnel at Compliance Conduct and Operational Risk division, your role involves identifying potential instances of market abuse, such as insider trading and market manipulation. You will be using 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 safeguarding the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Key Responsibilities: - Review trade surveillance alerts and analyze trading and market activity for asset classes includi...

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...