ISG Trade Surveillance, Associate, Oversight, Monitoring and Testing

Review and analyze trade surveillance reports across multiple asset classes to identify and escalate regulatory and policy breaches.

Investigate surveillance alerts liaising with Compliance, Operations, and front office teams; resolve escalated alerts and document outcomes.

Support tuning, optimization, reporting, and development of surveillance programs including controls design, metrics creation, and regulatory audit responses.

4-6 years of relevant experience in financial services compliance, internal audit, securities exchange, or securities regulator; preference for trade surveillance experience.

Knowledge of financial instruments, trading mechanisms, booking, settlements, and global market regulations.

Skills in analyzing large data sets with tools like Tableau/SQL and understanding of trading strategies, algorithms, and market data vendors.

Working hours Monday to Friday 1:30PM to 10:30PM India time with some flexibility; Location: Mumbai, India.

Experience handling cross-asset trade surveillance alerts and investigations with strong regulatory and internal policy understanding.

Ability to coordinate across compliance, legal, technology, and front-office teams internationally to optimize surveillance effectiveness.

Strong analytical orientation with proficiency in data analysis tools and an understanding of emerging technologies like AI/ML in trading surveillance.