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Niche trade-surveillance and Aladdin skills lower competition, but strong brand and Mumbai location raise applicant density.
Role requires asset-management trade surveillance and regulatory expertise, limiting cross-industry transferability.
Mandatory regulatory, Aladdin, and SQL/BQL expertise creates strict technical and compliance screening.
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Manage and oversee the entire controls monitoring process including post trade, pre trade, trade surveillance, and dealing controls activities across multiple asset classes.
Investigate daily alerts related to market abuse (Insider Trading, Front Running, NAV Manipulation, etc.), perform reviews, document findings, and escalate suspicions to Market Conduct team.
Drive strategic initiatives for compliance system/process enhancements, engage stakeholders, prepare reports for risk forums, and support audit and governance activities.
Experience with trade surveillance and controls monitoring in asset management or related financial services domain: Not explicitly mentioned in the JD but implied as essential.
Strong knowledge of UK financial regulations including UCITS, 1940 Act, MAR (Market Abuse Regulation), ISDA, and FCA Conduct rules.
Proficiency in SQL and BQL for data analysis and investigation.
Work Experience Required: Not explicitly mentioned in the JD.
Experienced in managing multi-asset class trade surveillance including Equities, Fixed Income, Derivatives, FoF, Structured and Multi-Asset products with deep asset management knowledge.
Ability to handle complex investigations and collaborate with senior stakeholders and regulatory teams in a fast-paced environment with stringent deadlines.
Comfortable driving process improvements, handling escalations, and working with technology vendors and support teams like BlackRock Solutions (Aladdin).