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Tier-1 brand, metro location, and mid-level experience increase applicant competition.
Requires finance-specific trade surveillance and compliance experience, limiting cross-industry transferability.
Explicit 3–6 years requirement plus mandatory trade‑surveillance and regulatory experience makes shortlisting highly strict.
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Review global markets exception reports daily (Non-Market Abuse) to identify and escalate issues for corrective action.
Create trend analysis of identified issues and recommend remedial actions for recurring patterns.
Partner with stakeholders to design new reports, improve review processes, reduce false positives, and oversee division-wide audit and regulatory issues.
3-6 years of experience in Compliance, Risk Management, Trade Surveillance, or Trading Support focusing on sales and trading issues.
Management Graduate or Master’s in Commerce/Finance background.
Knowledge of Equities and Fixed Income markets with understanding of relevant regulatory rules.
Proficiency in MS Office applications (Word, Excel, PowerPoint).
Experienced in front-office advisory roles within institutional securities or similar environments handling compliance and surveillance.
Capable of independently managing control environment mechanics including escalation and risk issues.
Skilled in stakeholder collaboration for process improvement and regulatory compliance reporting.