Job Summary

Division: Legal Compliance (LCD). Super - Department: Compliance. Department: Surveillance. Sub-Department: ISG Trade Surveillance. Region: Global. Job Level: Associate. Job Title: Associate. Employment Type: Full Time. Location: Mumbai.

Role Overview

The Surveillance team performs an independent monitoring/oversight of Compliance reports that look for breaches to internal policies and/or regulatory requirements by Firm Traders/ Institutional Clients. The team works closely with global colleagues and stakeholders across the Firm (including staff in Legal and Compliance, Business Control Unit, Risk Management, Operations and Technology) to promote the ongoing development and effectiveness of the surveillance program. Examples of reviews performed are: Insider Trading, Ramping, Front Running etc.

Primary Responsibilities (Day Job)

The Surveillance Analyst will have several areas of responsibility including, but not limited to, following:

- Review and analyze trade surveillance reports across asset classes like equities, derivatives, fixed income and commodities to escalate any regulatory and policy breach identified as part of the review.
- Liaising with Compliance colleagues, Operations and front office staff to investigate surveillance alerts as necessary.
- Resolving escalated alerts appropriately and promptly, documenting results clearly and escalating possible exceptions as appropriate.
- Assist in identifying any coverage gaps, quality issues to help improve program effectiveness.
- Support tuning and optimization efforts to help create efficiencies.
- Creating and Presenting Management Information Packs on a periodic basis.
- Assisting with the design and deployment of new controls, in addition to the enhancement and calibration of existing controls
- Assisting in the delivery of surveillance related projects or initiatives
- Support and provide input into related surveillance programs including the ongoing creation of global surveillance metrics, KRIs and KPIs
- Support regulatory inquiries, regulatory inspections,



internal audits by providing requested data / addressing respective queries
- Interaction with IT/ QDA
- Work with IT and / or vendors in enhancing/ developing current tools;
- Participate in testing/ requirement drafting of new models/reports;

Requirements

Experience

- 4 -6 years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator; Preference will be given to candidates with relevant experience in Trade Surveillance

Knowledge

- Possess excellent knowledge of financial instruments and co-relation of these instruments to being able to assess cross- product risks/ manipulations.
- Knowledge of global markets / market regulations.
- Understanding and knowledge of trading mechanisms across different financial instruments/ markets.
- Should possess knowledge of trade booking and settlements.

Skills and Qualities

- Knowledge of global markets / market regulations
- Knowledge of trading strategies, algorithms and trading terminologies
- Knowledge of market data vendors (e.g. Bloomberg, Reuters Eikon)
- Excellent communication skills: able to communicate complex scenarios and concepts clearly, concisely and effectively, both verbally and in writing, to stakeholders across all levels.
- Strong analytical skills; experience of handling, analyzing and presenting large data sets to identify exceptions or anomalies
- Ability to work with cross-functional and cross-regional teams spanning Compliance, and Technology
- Strong Analytical Skills and attention to detail
- Knowledge / Use of analytical tools like Tableau/SQL to query large data sets.
- Understanding of new technologies like Machine Learning, AI, etc.

Coverage

Monday to Friday from 1:30PM to 10:30PM India time with flexibility on standard working hours for time sensitive matters

Disclaimer: This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.

📌 ISG Trade Surveillance, Associate, Oversight, Monitoring and Testing (Mumbai)
🏢 Morgan Stanley
📍 Mumbai