Nuvama Group
Website:
nuvama.com
Job details:
We are seeking an experienced Trade Surveillance professional to join our Compliance team. The ideal candidate will have a deep understanding of trading activities across asset classes and experience with surveillance systems and regulatory requirements. The role involves monitoring, reviewing, and investigating trading activity to detect and escalate potentially suspicious or non-compliant behavior.
- Monitor trade activity across various asset classes (Equities, Fixed Income, FX, Derivatives) to identify potential market abuse, insider trading, front-running, layering/spoofing, and other forms of misconduct.
- Conduct daily and periodic reviews using automated surveillance systems (e.g., SMARTS, Actimize, NICE, Scila, or similar platforms).
- Investigate and escalate potential issues, documenting findings and conclusions in a clear, concise manner.
- Develop and enhance surveillance scenarios, logic, and alerts based on evolving regulatory standards and business practices.
- Collaborate with Compliance, Legal, Risk, and Business teams to understand trading strategies and business operations.
- Prepare reports for senior management and regulators, as needed.
- Participate in internal and external audits and regulatory inquiries.
- Stay current with relevant regulatory developments (e.g., SEC, FINRA, FCA, ESMA, MAS).
- Assist in training junior team members and cross-functional teams on surveillance concepts and procedures.
Experience : 3 to 5 yrs
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