AL-1 Senior Associate - FOCS TradeGlobal Delivery Center

Responsibilities:

• Review analyse and investigate market abuse trading activity generated by an automated monitoring system AT LEVEL 1 in accordance with relevant review process as defined in the operating guidelines.
• Obtain and upload analysis results and relevant material for record keeping purposes and conclude the alerts with the indicative target timelines without compromising the quality and completeness of the analysis
• As necessary use available research tools (e.g. Bloomberg Reuters) to identify publicly available information concerning transactions to be identified for further investigation
• Escalate suspicious trading activity deserving of further investigation to On shore
• MIS and reporting of daily activities on timely manner.
• Ensure escalation by Investigator is proper in a timely manner and supported by relevant information and due diligence search results
• Comply with procedure and other relevant policies/ procedures of group and regulations and industry best practice
• Collaborate and work effectively with team members and relevant stakeholders
• Be supportive and adaptive to changes of procedures and scope of work
• Meet the QA requirements and the expected daily volume
• Professional level knowledge of securities and banking regulation.
• Fluent reading proficiency in English.
• Knowledge of trading and business terminology.
• 3 years surveillance/compliance experience within a financial services/securities environment.
• knowledge of MS office specifically Excel.

Candidate Summary

Experience in trade surveillance eccomm surveillance global markets compliance experience within a financial services/securities environment.

Exp2yrs Chennai & Mumbai

General shift

trade surveillance,eccomm surveillance,Financial Services,securities