Central Compliance, NCT

Overview

Central Compliance role in the Communication and Trade Surveillance team, overseeing daily surveillance of Trade, Information Barrier and Communication alerts.

What you'll do

• Oversee and conduct daily surveillance for alerts generated in Trade, Information Barrier and Communication Surveillance and action them in a timely manner.
• Liaise with Country Compliance Officers, the business and Operations to investigate surveillance alerts as necessary.
• Work with key stakeholders (e.g. Business, Technology, Third party vendors) to identify and implement enhancements to surveillance systems and programs.
• Manage multiple requests and work across different surveillance verticals and regions in an orderly and timely manner.
• Maintain effective and constructive working relationships with staff located in other regions to deliver the surveillance program.
• Perform additional duties (BAU / Non-BAU) as assigned.

What you'll need

• At least 2+ years of experience in a relevant field, preferably in Trade / Information Barrier Surveillance.
• Bachelor's or Master's in Commerce or Finance, or an MBA in finance or related field.
• Proficiency in data analysis and MS Office (esp. Advanced Excel + PowerPoint).
• In-depth knowledge of trade life cycle and market structure.
• Good understanding of Equity, Fixed Income, Foreign Exchange, Listed Derivatives and Information barrier surveillance products.
• Excellent written and verbal communication skills.
• Ability to convey complex surveillance findings to both technical and non-technical stakeholders.
• Proven ability to leverage AI tools to enhance productivity and optimise workflows, applying critical judgment to ensure responsible and ethical use of data and AI outputs.

Nice to have

• Advanced degree or relevant certifications (e.g., CFA, CAMS).
• Collaborative team member who values connection and participates in team-building events and firm-wide sessions.

Details

• Location: Mumbai, India.
• APAC shift: Monday to Friday, 08:00 am to 05:00 pm India time, with flexibility on standard working hours for time-sensitive matters (including public holidays).
• Hybrid working arrangement, currently 60% work from office weekly (subject to change as per firm's policy).