Monitor trading activity and surveillance alerts to detect market abuse; investigate suspicious trading patterns and document cases; close alerts; coordinate with Compliance, Risk, Operations, Product, and Technology; prepare regulatory reports; tune surveillance scenarios; analyze spot, derivatives, and options; maintain dashboards and MIS; support audits; and drive automation and process improvements.
We are looking for an experienced Trade Surveillance professional to strengthen our Compliance function and ensure market integrity through proactive monitoring, investigation, and regulatory compliance.
Key Responsibilities- Monitor trading activities and surveillance alerts to identify potential market abuse, including spoofing, layering, wash trades, front-running, insider trading, and market manipulation.
- Conduct investigations into suspicious trading patterns and prepare detailed case documentation.
- Review and close surveillance alerts generated through internal and external monitoring systems.
- Liaise with Compliance, Risk, Operations, Product, and Technology teams on surveillance matters and escalations.
- Prepare regulatory reports and responses for exchanges, regulators, and other stakeholders, where applicable.
- Perform periodic reviews of surveillance scenarios, thresholds, and monitoring frameworks to enhance effectiveness.
- Analyze trading behavior across spot, derivatives, and options products to identify emerging risks.
- Maintain MIS, dashboards, and surveillance metrics for management reporting.
- Stay updated on regulatory developments, exchange circulars, and industry best practices.
- Support audits, inspections, and compliance reviews related to market surveillance activities.
- Drive automation and process improvement initiatives to strengthen the surveillance framework.
Requirements
- Bachelor's or Master's degree in Finance, Commerce, Economics, Law, or a related field.
- 5+ years of experience in Trade Surveillance, Market Surveillance, Compliance Monitoring, or Market Abuse Investigations.
- Prior experience with a Stock Broking firm, Capital Markets organization, Exchange, or Trading Platform is mandatory.
- Strong understanding of securities markets, derivatives, market conduct regulations, and surveillance methodologies.
- Hands-on experience investigating trading alerts and suspicious market activities.
- Familiarity with surveillance tools such as SMARTS, Actimize, Compass or similar monitoring systems is preferred.
- Strong knowledge of regulatory requirements, exchange rules, and market abuse monitoring frameworks.
- Excellent analytical, investigative, and report-writing skills.
- Ability to independently manage complex investigations and interact with senior stakeholders.
- Experience in derivatives, futures, options, and leveraged trading products.
- Knowledge of AML, Financial Crime, and Fraud Monitoring frameworks.
- Proficiency in SQL, Excel, data analytics, or surveillance reporting tools.
- Strong communication and stakeholder management skills.
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