Senior Analyst - Trade Surveillance Banks T500-13554 Talent500

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Job Description

About the Role: Position Title: Senior Analyst Corporate Title: Analyst Reporting to: VP - Core Compliance Location: Bengaluru Job Profile Position details: Surveillance in EMEA Core Compliance is responsible for delivering a comprehensive and integrated trade and communications surveillance program across the Company. The main purpose of the role is to deliver monitoring and surveillance for trades and communications applying Company's systems, risk framework and standards applicable from time to time. You will be expected to contribute to the overall surveillance and monitoring framework by: Applying experience as surveillance officer to conduct relevant monitoring and reviews Assist Company's - EMEA team members with all asset class monitoring and surveillance work If requested take part in UAT testing, respond to ad hoc queries and provide feedback to management Roles and Responsibilities: Conduct transaction surveillance of FX and Fixed Income business units in order to detect potential regulatory violations, identify suspicious activity and items requiring corrective action; Interact with Front Office Salespeople, Traders, Supervisors and Compliance Advisory staff so that an appropriate resolution may be achieved and communicate issues in a proactive manner; Raise matters of importance to Departmental Management for discussion, participate in Team meetings, escalated alerts to L2 for further investigation wherever required Conduct or assist with special investigations and projects; Assist with Internal Audit and ad hoc regulatory requests. Other activities to support the work of the Surveillance team as required. This list of responsibilities is expected to change over time as the Surveillance department evolves. Job Requirements: 1-3 years of experience with a financial services firm and/or self-regulatory organization in a compliance or regulatory related position; Experience or specialization in an asset class such as FX and Fixed Income preferred Good knowledge of Nasdaq Smarts, KX or similar trade surveillance systems with experience in alert management Good knowledge of Global Relay, Compliance Accelerator or similar communication surveillance systems Competent with using Bloomberg terminal and functionalities Competent with excel, trade booking systems and trade data FX, Equities and Fixed Income products knowledge including spot and FX derivatives Excellent Microsoft Office Skills and Excel skills Personal requirements: Strong numerical skills Understanding of Banking Risks and regulations Effective time management skills, with the ability to produce high quality output and meet tight deadlines. A calm approach, with the ability to perform well in a pressurized environment Problem solving, analysis and reporting skills Good communication and interpersonal skills Results driven, with a strong sense of accountability A proactive, motivated approach. The ability to operate with urgency and prioritize work accordingly Strong decision making skills, the ability to demonstrate sound judgement Excellent attention to detail and accuracy Equal Opportunity Employer: ,