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Tier-1 brand, metro location, mid-level associate role, and generalist technical skills increase applicant competition.
Role requires financial regulatory experience and market data knowledge, so backgrounds are not easily transferable.
Requires industry qualifications, regulatory knowledge, and technical tools (SQL/Tableau), making filtering strict.
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Review and analyze trade surveillance reports across multiple asset classes to identify and escalate regulatory or policy breaches.
Collaborate with Compliance, Operations, and front office teams to investigate alerts and resolve issues promptly with clear documentation.
Support regulatory inquiries, audits, enhancement of controls, and participation in surveillance projects with involvement in IT for tool development and testing.
Post Graduate / MBA in Finance or CFA or similar qualification required.
Strong analytical skills with experience handling large data sets and identifying anomalies.
Excellent communication skills to clearly convey complex scenarios to various stakeholders.
Work Experience Required: Not explicitly mentioned in the JD.
Experience working in a global, multi-asset class compliance or surveillance environment with regulatory exposure.
Proven ability to collaborate effectively across global teams and build rapport with colleagues in different offices.
Comfortable working independently under pressure with strong problem-solving skills and understanding of risk implications.