Job Description

At Compliance Conduct and Operational Risk division, as a trade surveillance personnel you would be responsible for identifying potential instances of market abuse, notably insider trading and market manipulation using well known surveillance systems, conducting surveillance of activities in Firm and Employee accounts to comply with the information barrier and restricted list policies. The trade surveillance team would be responsible for looking into the risks across markets using the established surveillance program to safeguard the firm against any reputational and/or financial risk while complying with internal policies and regulatory requirements.

Job Responsibilities:

  • Reviewing Trade surveillance alerts and conducting analysis of trading and market activity for asset class and programs such as Equities, Information barriers, Fixed income, Futures/ Options and Asset management
  • Properly documenting the review and disposition of the exceptions as well...

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