Your Team
Compliance Surveillance is a sub function of Global Compliance team. Compliance Surveillance undertakes investigation of trade surveillance, trade monitoring , Best -ex, cross trading and other Surveillance activities to identify any irregularities by examining data and helps find trends and draw conclusions about the information.
Your Role
- Responsibilities would include conducting review of alerts triggered for Market Abuse modules within Surveillance tool on daily basis.
- Review of alert completion related to Portfolio manager s trading activities by researching and documenting detailed notes as to resolutions given in relevant systems.
- Review Best execution activities, meetings logs, perform ecomm surveillance to identify any potential conflict of interest.
- Prepare documentation to support reviews conducted and to substantiate/demonstrate adequate processes/controls to meet applicable regulatory requirements.
- Assist with ongoing review of relevant processes and procedures to ensure best practice is followed.
- Assist in delivery of compliance related projects and initiatives including ad-hoc requirements.
- Total relevant work experience of 2-5 years required with investment advisor or mutual fund group in Compliance or regulatory environment
The Experience You Bring
- Knowledge of Financial products and Mutual fund industry
- Experience on Trade surveillance platforms & tools
- Understand of trading principals and fundamentals
- Good analytical skills and attention to detail
- Excellent interpersonal skills to work effectively with a network of colleagues spread across different time zones
- Proficiency in MS Office
- Strong written and verbal communication skills
- A positive attitude and willingness to learn
- Open to flexible working hours
- Familiarity with trading systems and compliance components such as Charles River, Bloomberg & Aladdin would be given preference.
- Knowledge of MS Power BI, Tableau would be an added advantage.
Academic requirements
- Bachelors or Masters (preferred) degree in Commerce / Finance
