Job Title: ICRM / Compliance & Surveillance Analyst

Location:
Mumbai

Mindlence is hiring experienced
Compliance & Surveillance professionals
for opportunities across
ICRM, Personal Trading, Communications Surveillance, Trade Surveillance, and Registration & Licensing
.

Key Responsibilities:
- Review and investigate surveillance alerts, exceptions, employee trading activity and communications for potential policy or regulatory concerns.
- Analyze and reconcile complex trading, transaction and surveillance data to identify anomalies and potential breaches.
- Review personal trading/pre-clearance activity, account disclosures and compliance exceptions where applicable.
- Document investigations, dispositions and findings accurately and escalate issues appropriately.
- Support regulatory inquiries, examinations, ad-hoc reviews and compliance projects.
- Work closely with Compliance, Legal, Business and Risk stakeholders to resolve potential issues.
- Maintain strong adherence to applicable regulations, internal policies and risk/control frameworks.

Ideal Candidate:




- 2+ years of experience in
Compliance, Surveillance, Personal Trading, Trade Surveillance, Communications Surveillance, Regulatory Compliance or ICRM
.
- Knowledge of compliance regulations, risks, controls and surveillance typologies.
- Solid analytical, investigative and reconciliation skills.
- Experience with
NICE Actimize, NICE CS, Verba or Orchestria
is preferred for relevant roles.
- Exposure to
Equities, ETD, FX, Fixed Income, MAR, MiFID or Unauthorized Communication Channels
is an advantage.
- Strong communication, stakeholder management and MS Excel skills.
- Bachelor's degree in Finance, Commerce, Business, Law or a related discipline.

About Mindlance:

Founded in 1999
, Mindlance
has been ranked as one of the fastest growing US Staffing firms by SIA for 9 consecutive years. We provide Technology, Engineering, Digital / Creative / Marketing, Clinical Research, Scientific, Finance, Profession

📌 ICRM / Compliance & Surveillance Analyst (Mumbai)
🏢 Mindlance
📍 Mumbai