Responsible for overseeing employee personal trading activities in adherence with regulations in the Firms respective regions of operation. Specifically, we are responsible for the on-boarding of employee Personal Trading Account(s) data, as well as monitoring their compliance to the firm’s Personal Trading Policies.

Opportunity

The PAD operational model spans across all lines of business, compliance and technology and is a cross product group. As a member of the team you will be tasked with ensuring employees have correctly attested to the PAD policy, declared personal trading accounts and performing the ongoing surveillance of those trading accounts.

Key Responsibilities:

- Ensure the timely reconciliation of employees personal trades (including reporting of breaches, reconciliation of statements and employee records)
- Managing more complex trading activity and employee escalation
- Dealing with employees across Globe as it relates to specific queries on the PAD Policy
- Ensuring key throughput and quality targets are met, inclusive of performing supervisory checks and review
- Conducting analysis as required as it relates to the surveillance activity performed by PAD

Requirements





The successful candidate will be a team member responsible for successfully monitoring the employees’ personal dealing activities with strong adherence to compliance policies and controls. They should be analytical and have the ability to identify trading activity that is not in line;s Personal Account Dealing Policy. Frequently communicate with Regional and LOB Compliance to maintain and track the employees’ personal account dealing data and activities.

Essential skills:

- 2-3 years’ experience in a Legal, Compliance, Risk or Operations areas within the Financial Services industry
- A working knowledge of the financial markets and products
- Client centric focus - Work as a trusted client partner and advocate, ensuring strong strategic alignment and open communication
- Positive at data organization and maintenance – must be detail oriented
- Able to work both independently and as part of a team
- Comfortable user of Microsoft Office (particularly Excel)
- Execution skill - Able to deliver results/meet deadlines under pressure

📌 Business Data Analyst (Hyderabad)
🏢 Randstad
📍 Hyderabad