At Compliance Conduct and Operational Risk division, as a E-Communication 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 policies. The E-Communication 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.

The Firm’s Global Compliance Surveillance team is hiring experienced E-Communication and Voice Surveillance analysts. Key responsibilities and qualifications for available roles include:

Job responsibilities

• Review applicable communications surveillance alerts and communications subject to first-level review and identify unusual activity and potential compliance issues

• Working with business and compliance stakeholders to identify potential market misconduct and escalate potential compliance issues

• Conducting alert-based reviews for potential violations of laws, rules, and regulations.

• Additional duties as assigned & Identifying areas for process improvement and contribute towards the same

• Identify key issues, risks, trends, observations and have them highlighted to management/key stakeholders

• Work along with peers, handle multiple reports, engage in result-oriented tasks in a fast-paced environment

• Proactive, possessing a sense of ownership and accountability in following through on existing issues and cases

• Identifying areas for process improvement and contribute towards the same

Required qualifications, capabilities, and skills:

• Qualified graduate with minimum of 6 years of relevant experience in E-Communication/trade surveillance process
• Product experience with financial products (including equities, futures and Fixed income) and/or information barriers / Asset management
• An understanding of markets and potential market manipulative behavior and a demonstrated ability to conduct reviews relating to regional rules, regulations and policies
• Experience with Smarsh Connected Archive, NICE VOISS or similar surveillance systems is a plus