Your Role
Responsibilities would include conducting review of alerts triggered for Market Abuse modules within Surveillance tool on daily basis.
Review Best execution activities, meetings logs, perform ecomm surveillance to identify any potential conflict of interest.
Review of alert completion related to Portfolio manager’s trading activities by researching and documenting detailed notes as to resolutions given in relevant systems.
Monitor development in regulatory requirements and work with global teams to adjust surveillance models accordingly.
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.
Interact with members of Regional Compliance Teams and other stakeholders to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing related controls.
Act as subject matter expert in resolving complex situations in day-to-day tasks.
Assist in delivery of compliance related projects and initiatives including ad-hoc requirements.
Effectively review and resolve any potential compliance issues as they arise.
Help senior management in making process more effective and efficient.
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 Master's (preferred) degree in Commerce / Finance
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