Key Areas of Responsibilities

- Day to day operation of SMARTS monitoring tool and analysis of triggered alerts related to APAC wide Equities and Derivatives transactions
- Investigate and close out monitoring alerts thoroughly in a timely manner, and ensure significant issues identified are fully investigated and promptly escalated where necessary
- Drive continuous improvement of the surveillance framework including refinement and calibration
- Contribute to the implementation of strategic department projects including global and regional initiatives.
- Raising Suspicious Transaction reports (STR) to the local country compliance for further investigation
- Assist in the production of effective management information reports for Senior Management
- Contribute to team discussions, investigations and knowledge acquisition
- Positive understanding of the trade surveillance terminologies and types of market manipulations.
- Candidate should be flexible and open to learning about Personal Account Dealing, S329 Disclosures, AML, DOI position checks and E-comm Surveillance

Requirements

- Bachelor’s or Master’s in Commerce and Finance/Banking.
- 5-10 years of relevant experience in Trade Surveillance.
- Experience in building relationships with stakeholders’ Strong analytical skill,



ability to handle multiple tasks simultaneously and work under tight deadlines
- Familiarity with SMARTS / IRESS/ Qlik Sense systems will be an added advantage.
- Well-versed and capable of independently investigating and reviewing the alerts generated by the SMARTS surveillance system end-to-end.
- Experienced in conducting market conduct investigations for complex cases, drafting and filing reports to external regulatory bodies.
- Comfortable engaging the external surveillance vendor at the technical level to resolve production issues or advocate for system/control design changes.
- Strong compliance mindset, confidence to question the ‘status quo’ and challenge stakeholders when the responses are not satisfactory.
- Investigative skills and flexible to learn other aspects of compliance.
- Attention to detail and process oriented
- Self-motivated, desire to be challenged and eager to learn
- Proficient in Word and Excel
- Good prioritization, organizational and multi-tasking skills
- Good interpersonal skills and excellent written/oral communication skills.

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📌 Compliance Officer, Compliance (Pune)
🏢 Recognized
📍 Pune