Career Opportunities: Assistant Manager - Trade Surveillance (918)
Requisition ID 918 - Posted
Job Responsibilities
- Support the Manager in conducting trade surveillance activities to detect and prevent market abuse, insider trading, and irregular trading behavior.
- Perform daily review of surveillance alerts and monitor trading activities to identify suspicious transactions.
- Conduct detailed investigations by gathering relevant data, reviewing trade history, and identifying potential violations.
- Ensure surveillance systems and tools are functioning effectively and support the calibration of surveillance parameters.
- Identify gaps or inefficiencies in surveillance systems and collaborate with IT teams or system developers to improve them.
- Ensure accurate and comprehensive documentation of investigations, findings, and decisions for regulatory reporting and audits.
- Prepare periodic reports and summaries on key surveillance findings for management.
- Support junior team members by providing guidance on trade surveillance processes, tools, and investigation techniques.
- Assist in implementing risk mitigation strategies and ensure adherence to internal processes and controls.
- Identify potential operational risks in a timely manner and escalate issues to the Manager.
- Collaborate with technology and other internal teams to enhance surveillance processes and system effectiveness.
- Recommend improvements to surveillance processes based on insights from daily operations and investigations.
Requirements- Bachelor’s Degree in Finance, Economics, Business Administration, or a related field.
- Minimum 1 year of experience in trade surveillance.
- At least 2 years’ experience in an executive role within banks, broker-dealers, custodians, or stock exchanges.
- Experience in share trading, investment research, or investment banking will be an added advantage.
Knowledge & Technical Expertise
- Understanding of financial markets and trading activities, including market structures, trading strategies, market behavior, and trends.
- Knowledge of regulatory and compliance frameworks.
- Familiarity with surveillance systems and trade surveillance tools and typologies.
- Knowledge of financial crime detection and prevention.
- Understanding of financial instruments and derivatives.
- Investigation and reporting skills.
Other Skills & Competencies
- Strong knowledge of financial markets and regulations across the US, Europe, Middle East, and Asia.
- High attention to detail and ability to detect patterns in large volumes of data.
- Trade surveillance expertise, including detection of market manipulation, insider trading, and suspicious trading activity.
- Strong analytical and problem-solving skills.
- Excellent written and verbal communication skills.
- Effective time management and ability to prioritize tasks in a high-pressure environment.
- Strong collaboration and teamwork skills, with the ability to mentor and support junior team members.
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Requisition ID 918 - Posted
Job Responsibilities
- Support the Manager in conducting trade surveillance activities to detect and prevent market abuse, insider trading, and irregular trading behavior.
- Perform daily review of surveillance alerts and monitor trading activities to identify suspicious transactions.
- Conduct detailed investigations by gathering relevant data, reviewing trade history, and identifying potential violations.
- Ensure surveillance systems and tools are functioning effectively and support the calibration of surveillance parameters.
- Identify gaps or inefficiencies in surveillance systems and collaborate with IT teams or system developers to improve them.
- Ensure accurate and comprehensive documentation of investigations, findings, and decisions for regulatory reporting and audits.
- Prepare periodic reports and summaries on key surveillance findings for management.
- Support junior team members by providing guidance on trade surveillance processes, tools, and investigation techniques.
- Assist in implementing risk mitigation strategies and ensure adherence to internal processes and controls.
- Identify potential operational risks in a timely manner and escalate issues to the Manager.
- Collaborate with technology and other internal teams to enhance surveillance processes and system effectiveness.
- Recommend improvements to surveillance processes based on insights from daily operations and investigations.
Requirements- Bachelor’s Degree in Finance, Economics, Business Administration, or a related field.
- Minimum 1 year of experience in trade surveillance.
- At least 2 years’ experience in an executive role within banks, broker-dealers, custodians, or stock exchanges.
- Experience in share trading, investment research, or investment banking will be an added advantage.
Knowledge & Technical Expertise
- Understanding of financial markets and trading activities, including market structures, trading strategies, market behavior, and trends.
- Knowledge of regulatory and compliance frameworks.
- Familiarity with surveillance systems and trade surveillance tools and typologies.
- Knowledge of financial crime detection and prevention.
- Understanding of financial instruments and derivatives.
- Investigation and reporting skills.
Other Skills & Competencies
- Strong knowledge of financial markets and regulations across the US, Europe, Middle East, and Asia.
- High attention to detail and ability to detect patterns in large volumes of data.
- Trade surveillance expertise, including detection of market manipulation, insider trading, and suspicious trading activity.
- Strong analytical and problem-solving skills.
- Excellent written and verbal communication skills.
- Effective time management and ability to prioritize tasks in a high-pressure environment.
- Strong collaboration and teamwork skills, with the ability to mentor and support junior team members.
Email this job to a friend
-
- The job has been sent to
The job has been sent to
Job Responsibilities
- Support the Manager in conducting trade surveillance activities to detect and prevent market abuse, insider trading, and irregular trading behavior.
- Perform daily review of surveillance alerts and monitor trading activities to identify suspicious transactions.
- Conduct detailed investigations by gathering relevant data, reviewing trade history, and identifying potential violations.
- Ensure surveillance systems and tools are functioning effectively and support the calibration of surveillance parameters.
- Identify gaps or inefficiencies in surveillance systems and collaborate with IT teams or system developers to improve them.
- Ensure accurate and comprehensive documentation of investigations, findings, and decisions for regulatory reporting and audits.
- Prepare periodic reports and summaries on key surveillance findings for management.
- Support junior team members by providing guidance on trade surveillance processes, tools, and investigation techniques.
- Assist in implementing risk mitigation strategies and ensure adherence to internal processes and controls.
- Identify potential operational risks in a timely manner and escalate issues to the Manager.
- Collaborate with technology and other internal teams to enhance surveillance processes and system effectiveness.
- Recommend improvements to surveillance processes based on insights from daily operations and investigations.
Requirements- Bachelor’s Degree in Finance, Economics, Business Administration, or a related field.
- Minimum 1 year of experience in trade surveillance.
- At least 2 years’ experience in an executive role within banks, broker-dealers, custodians, or stock exchanges.
- Experience in share trading, investment research, or investment banking will be an added advantage.
Knowledge & Technical Expertise
- Understanding of financial markets and trading activities, including market structures, trading strategies, market behavior, and trends.
- Knowledge of regulatory and compliance frameworks.
- Familiarity with surveillance systems and trade surveillance tools and typologies.
- Knowledge of financial crime detection and prevention.
- Understanding of financial instruments and derivatives.
- Investigation and reporting skills.
Other Skills & Competencies
- Strong knowledge of financial markets and regulations across the US, Europe, Middle East, and Asia.
- High attention to detail and ability to detect patterns in large volumes of data.
- Trade surveillance expertise, including detection of market manipulation, insider trading, and suspicious trading activity.
- Strong analytical and problem-solving skills.
- Excellent written and verbal communication skills.
- Effective time management and ability to prioritize tasks in a high-pressure environment.
- Strong collaboration and teamwork skills, with the ability to mentor and support junior team members.