Job Title: Quality Assurance - Assistant Manager

Location: Mumbai

Position Purpose

The Assistant Manager will oversee re-performance of controls within Trade QA and E-Comm QA programs. The role ensures compliance with policies, procedures, and regulatory requirements by evaluating closed investigations, flagged communications, and trade alerts. The position contributes to risk mitigation, reporting, and remediation planning as part of the broader Quality Assurance Oversight Program.

Key Responsibilities

Direct Responsibilities

- Conduct re-performance of reviewed alerts to ensure compliance with policies and standards.
- Evaluate sampled E-Communications for timeliness and closure quality.
- Assess sampled trades for timeliness, research, documentation, analysis, writing, and closure quality.
- Draft reports highlighting trends, observations, and remediation recommendations.
- Create action plans for remediation and escalate unresolved issues to management.

Technical Skills





- Proficiency in Microsoft Excel (pivot tables, VLOOKUP), Word.
- Experience with financial platforms such as NASDAQ SMARTS and Bloomberg.

Technical & Behavioral Competencies

- At least 7 to 12 years experience in banking /financial industry
- A good understanding of capital markets
- Familiar with Market Abuse & Manipulation types
- Good communication skills and eager to learn.
- Analytical and with an investigative eye for accurate details and red-flag situations
- Ability to work in a team as well as independently.
- Ability to write concisely and clearly; and to produce transparent constructive advice under pressure and within short timeframes.

Interested candidates can share their CV at: [email protected]
Please include in your email:
Total Experience
Current CTC
Expected CTC
Notice Period
Current Location

📌 Trade Surveillance - QA Assistant Manager (Mumbai)
🏢 Kiya.ai
📍 Mumbai