Responsibilities:

- Reviewing and analyzing surveillance alerts and/or reports relating to firm, employee and client trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately.
- Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies. Additionally, supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel.
- Additional activities including handling telephone hotlines and performing data entry in various systems.
- Can exercise independence of judgement and autonomy.
- Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding , its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Qualifications:

- For Trade Surveillance: Previous experience with SMARTS (2+ years) is essential.
- For Trade Surveillance: Good product knowledge of Equities, Exchange Traded Derivatives (ETD) or FI/FX products is required.
- 3+ prior years in a Surveillance or Compliance role.
- Knowledge of Compliance laws, rules, regulations, risks and typologies




- Excellent written and verbal communication skills. Fluent English is essential.
- Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Proficient in MS Office applications (Excel, Word, PowerPoint)
- Preferred Skills (Communication Surveillance):
- Solid Hindi, Tamil or Bengali languages (for Communication Surveillance)
- Product knowledge of Equities, ETD, FI or FX instruments.
- Preferred Skills (Trade Surveillance):
- Completion of the “AML-Transaction Monitoring & Suspicious Transaction Reporting” training – a NISM eLearning Certification Course.

Education:

Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus

PROFILE SEARCH

Key terms to search for during Candidate / Resume filtering:

- SMARTS
- NICE CS
- NICE Actimize
- Verba
- Orchestria

Other key terms:

- Pump and dump
- Spoofing
- Layering
- Ramping
- Insider Trading
- Wash Trades
- Front Running
- MNPI Abuse
- Market Abuse
- Market Manipulation
- Loss Avoidance
- MAR (Only search for whole word, all-caps)
- MIFID
- Unauthorized Communication Channels

Pay: ₹1,000,000.00 - ₹2,000,000.00 per year

Benefits:

- Flexible schedule
- Paid sick time
- Provident Fund
- Work from home

Application Question(s):

- Have you worked on Trade Surveillance
- Have you worked on SMARTS

Work Location: Hybrid remote in Mumbai, Maharashtra (Mumbai, Mumbai District)

📌 Trade Surveillance (Mumbai City)
🏢 Mindlance
📍 Mumbai City