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Regulatory Compliance

Keywords / Skills : "market abuse", "insider trading", "stock market regulators", "Regulatory compliance", "Trade surveillance", "Personal account dealing", "trading activities", "Capital Market", "Fixed Income", "Equities", " Equity research", "Product control"

3 - 7 years
Posted: 2018-02-14

Job Description
We are looking for People who is currently in Hyderabad and are interested in Bangalore work location.

Your experience Must be in the following areas (One or More than One)

Regulatory Compliance
Trade Monitor
Insider Trading
Trade Market Abuse
Trade Surveillance
Capital markets (Especially Fixed income and equities)
Personal account dealing (PAD, employee trade surveillance)
Equity research
Investment advisors
Product control
Money market operations
Regulatory compliance (not AML / KYC / Dodd Frank) profiles from broking firms
Corporate Actions (with strong product knowledge only)
Profiles of candidates with NCFM certifications / certifications from Imarticus learning
ONLY with through knowledge on BOTH Equities and Fixed income

Good to have:
They should have good markets / financial products knowledge to understand the conversation between traders.
knowledge on various Market abuse practices like insider trading

The Main responsibilities include but not limited to:  
• Review, investigate and escalate alerts generated by the Global Market Surveillance system. This system is designed to identify breaches of internal policies surrounding Information Boundaries or individual behaviour that may signify potential risk to company and / or its clients’, in particular that of Market Abuse risks.

• Check the alerts closed to ensure that all quality related parameters are met by them team.

• Perform daily monitoring tests that ensure that the risks within the monitoring plan are mitigated.

• Escalate instances of irregularities to regional hubs.

• Produce reports providing management information for Senior Management.
Skills & Experience required:
• Graduate with 3-7 yrs. experience in an internal audit or compliance environment.
• Experience in Surveillance monitoring (Trade or Communication) preferable
• Knowledge on financial markets, compliance & its regulations.

About Company

Leading Banking and Financial Organisation

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