Process Associate

Job Family

What You Will Do

• The Market Surveillance Compliance team sits within the Global Compliance Department. The team strives to detect potential insider trading, market abuse, violations of regulations and policies related to information barriers, and/or violations of firmwide trading policies through established advanced technology-based trading surveillances. Market Surveillance focuses on establishing surveillances to cover all business units globally. The opportunity within Market Surveillance exists in the Trivandrum office and will focus on surveillance alerts, ad-hoc investigations arising from internal escalations and regulatory inquiries, as well as project-based work on building out trade-surveillance parameters underpinning new surveillance technologies.
• Key Responsibilities
• Identify potential insider trading, information barrier, and market manipulation scenarios through investigations and analysis of trading alerts.
• Research market-moving events and create market color, conduct an analysis of the trading in the context of this market color, develop and support a recommendation.
• Investigate potential trading issues flagged by the business units, such as the Global Markets & Banking and Asset and Wealth Management segments.
• Liaise with strategy groups, Engineering, and Technology in the development, review, and testing of new/existing automated surveillance models and output.
• Coordinate with the Anti-Money Laundering Group globally on trading-related investigations and potential escalations which may result in the filing of Suspicious Activity Reports (SAR).
• Pursue ad-hoc projects related to trading around market-moving news events such as drug trials, merger & acquisition announcements, offerings, corporate accounting scandals, etc.
• Participate and potentially lead working groups that focus on enhancing controls/quality of the trade surveillance program.
• What You Will Need :