Hiring: Quality Assurance Assistant Manager (Market Surveillance Compliance)

Location: Mumbai (Hybrid)

Employment Type: Full-Time

Job Summary

We are looking for an experienced Quality Assurance Assistant Manager to join the Compliance & Market Surveillance function. The role is responsible for performing quality assurance reviews of Trade Surveillance and Electronic Communications investigations by re-performing controls, assessing investigation quality, identifying gaps, and ensuring adherence to internal policies, regulatory requirements, and market surveillance standards.

The ideal candidate should have a strong background in Capital Markets, Market Surveillance, Compliance, or Financial Crime, with excellent analytical, investigative, and reporting skills.

Key Responsibilities

- Verify that investigations comply with internal policies, procedures, and regulatory expectations.
- Identify gaps and recommend corrective actions where required.

Electronic Communications Quality Assurance
- Review completed Electronic Communications investigations.
- Evaluate alert reviews based on timeliness, quality of investigation, documentation, and closure.
- Ensure potential risks have been appropriately assessed and mitigated.

Reporting & Governance
- Prepare QA reports highlighting trends, observations, and recurring issues.
- Recommend remediation plans and track corrective actions.
- Escalate significant findings to management where required.




- Support management reporting and surveillance governance activities.
- Assist in regulatory and internal investigations when required.

Required Skills & Experience
- 7–12 years of experience in Banking, Financial Services, Investment Banking, Compliance, or Capital Markets.

- Solid understanding of

- Capital Markets
- Market Abuse & Market Manipulation

- Trade Surveillance

- Electronic Communications Surveillance

- Regulatory Compliance
- Experience conducting QA reviews, control testing, or surveillance investigations.

Preferred Skills
- Knowledge of trade lifecycle and market conduct regulations.
- Experience with surveillance platforms such as:

- NASDAQ SMARTS

- Bloomberg
- Advanced Microsoft Excel skills (Pivot Tables, VLOOKUP, XLOOKUP, data analysis).
- Experience preparing management reports and quality metrics.
- Capital Markets or Investment Banking certifications are preferred.

Education
- Bachelor's Degree (Finance, Commerce, Business, Economics, or related discipline)
- Capital Markets certifications will be an added advantage.

Location: Mumbai (Hybrid) Interested candidates can apply with their updated resume on [email protected]

Please include the following details in your email:

Total Experience

Relevant Experience

Current CTC

Expected CTC

Notice Period

Current Location

Immediate joiners or candidates serving short notice periods will be preferred.

📌 Assistant Manager QA (Market Surveillance Compliance) (Mumbai)
🏢 Kiya.ai
📍 Mumbai