Overview
Associate position in the Legal and Compliance division, focused on Oversight, Monitoring and Testing of trade surveillance.
What you'll do
- Review and analyze trade surveillance reports across equities, derivatives, fixed income, and commodities.
- Escalate regulatory and policy breaches identified in the reviews.
- Liaise with Compliance, Operations, and front office to investigate surveillance alerts.
- Resolve escalated alerts, document results clearly, and escalate possible exceptions.
- Find trends and patterns of high-risk clients/traders by analyzing trading activities.
- Create and present periodic Management Information Packs.
- Support regulatory inquiries, inspections, and internal audits with requested data and responses.
What you'll need
- Post Graduate/MBA in Finance/CFA or similar industry qualification.
- Excellent communication skills to convey complex scenarios clearly in writing and verbally.
- Strong analytical skills to handle, analyze, and present large data sets to identify anomalies.
- Ability to develop rapport with colleagues in global offices and support constructive feedback.
- Problem-solving ability to work independently under pressure.
- Experience interpreting laws or regulations.
- Knowledge/use of tools such as Tableau/SQL to query large data sets.
Details
- Location: Mumbai, Maharashtra, India.
Read the full description and apply on the company’s own careers page.
