5 Trade Survelliance Jobs

Actimize Trade surveillance job description: 1. Candidate with 5-7 years of experience in Actimize AIS, Risk case manager. 2. Good hands-on experience on Custom development experience in AIS 3. Should have strong hands-on experience on Risk case manager designer to create alert types, alert views, work flow restrictions, users and roles 4. Candidate should have worked on Agile methodologies focusing on strict timelines 5. Candidate with good knowledge of Bitbucket and Ansible as a deployment tool 6. Candidate with good experience on Autosys scheduling agent 7. Though trade surveillance experience would be an added advantage, even with other Actimize solutions like transaction monitoring, fraud detection or sanction screening will also be applicable 8. Candidate should be a good team player working with cross functional teams 9. Good communication and inter-personal skills are required.

Job Description Individuals will be part of the Trade 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 and manipulation. The individuals will also be responsible for investigating potential compliance/control room issues with multiple levels of management for appropriate disposition. Responsibilities The successful candidates will be responsible for performing trade surveillance activities on SMARTS and Actimize application, review alerts for market manipulation, restricted and watch listed securities, obtain deal updates (from Investment Bankers) when needed for watch list reviews, monitor trading activity using various exceptions-based reports. Working closely with the Line of Business (LOB) to understand the process and managing LOB process expectations, managing day to day process requirements, liaising with upper management, preparing, and presenting monthly reviews to senior management, managing employee conflict, conduct employee performance discussions, Work with the larger team on OPEX initiatives, identify process improvement areas, liaise with relevant support function to bring the idea to fruition. Analyze T+1 trading data on trade surveillance platforms for potential compliance issues, investigate potential compliance issues with management and document findings, work with the global compliance teams to document findings. Participate in the Parameter Review process for the Trade Surveillance models. Enables smooth migrations of work to GBS from onshore and maintaining/creating LOB confidence for the GBS team. Conducting LOB/GBS Executive presentations, including routine and monthly connects. Understand end to end Internal Controls and broader Global Business Services functions to ensure adherence to enterprise standards and reporting requirements. Train and set up a strong, fungible /Cross trained pool of resources within the GBS Trade Surveillance team Requirements: Education Post Graduate in any field Experience Range 15 + years of Experience in Trade Surveillance / Pre-trade / Post-trade / Real Time Surveillance Foundational Skills Experience in capital markets operations with a thorough understanding of trade life cycle and surveillance functions Strong capital market knowledge Working knowledge of derivative products Strong analytical, interpersonal, organizational, and time management skills Ability to lead a team Ability to prioritize work activity to maximize performance against agreed targets Excel skills and attention to detail Strong English written and verbal communication skills Experience in working with Surveillance applications like Actimize, SMARTS. Ability to work in a high-energy and dynamic environment. Ability to multi-task, assist in critical items/projects and those that require extensive research, while independently prioritizing his/her workload Ability to analyze large sets of data to develop and present executive level reporting Experience in operating on a global scale, across multiple functions/regions and with multiple stakeholders. Location GIFT

Job Description Title: Senior Manager - Investment Compliance Monitoring Department: General Counsel Shared Services Location: Gurgaon, India Reports To: Head of GC Shared services Compensation: Grade 6 We are proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our General Counsel (GC) Shared Services team and feel like you are part of something bigger. About your team: General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited (“FIL”), providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management. GC Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelity’s Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. About your role: Fiduciary duty to our clients and contributing to market integrity are responsibilities we take seriously, and it inspires us to do the right thing. As such, Fidelity is seeking a highly motivated individual who will play a pivotal role in supporting our global Investment Compliance Monitoring & Surveillance program. You will be responsible for ensuring the delivery of a comprehensive and effective surveillance programme in collaboration with colleagues and stakeholders across the organisation, in addition to the implementation and ongoing performance of desktop and thematic reviews based on business risk assessment and our risk appetite related to Fidelity’s investment management activities. Your analytical skills and dedication will contribute to the integrity and success of a comprehensive oversight and assurance programme. 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. About you: The ideal candidate will have: 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. Feel rewarded For starters, we’ll offer you a comprehensive benefits package. We’ll value your wellbeing and support your development. And we’ll be as flexible as we can about where and when you work – finding a balance that works for all of us. It’s all part of our commitment to making you feel motivated by the work you do and happy to be part of our team. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.

Trade Surveillance – prevention, detection, investigation and closure of abusive, manipulative or illegal trading practices in the securities markets with prior work experience on SMARTS platform

We are conducting Virtual Walk-In drive on Saturday, 17th May for Trade Surveillance role. Immediate joiners to 30 days notice period candidates are preferrable. Job Location: Bangalore, Mandatory WFO Experience: 3 - 8 years of experience in Trade Surveillance role 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 Key Responsibilities: 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. Behavioral Competencies: Team working • Client Centricity • Entrepreneurial • Communication • Clarity of Thought • Self-awareness