34 Trade Surveillance Jobs - Page 2

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...

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, reg...

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 a...

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 que...

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...

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 al...

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 su...

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 ...