Compliance Analyst (Electronic Communication Surveillance)

We are seeking a Compliance Analyst to join our Electronic Communication Surveillance team at Compliance Surveillance Program in Bangalore, Karnataka, India.

As a Compliance Analyst, you will be responsible for detecting and reporting potential market abuse across the firm's trading activity, and managing regulatory correspondence with exchanges/regulators.

Key responsibilities:

• Conduct general electronic communications and trading surveillance reviews, focusing on potential insider trading and market manipulation.
• Monitor daily surveillance reports using exception reports and other tools.
• Review surveillance alerts, conduct analysis, and escalate findings as needed.
• Assist in the investigation and handling of the inadvertent receipt of material non-public information (MNPI).
• Support regulatory examinations, inquiries, investigations, and projects as necessary.
• Draft and amend compliance-related policies and procedures.
• Undertake special compliance-related projects involving various inter-department stakeholders.

To be successful in this role, you should have:

• A Bachelor's degree in finance, Economics, or a related field with a strong academic record.
• At least 3 years of experience, preferably in surveillance or a related field at a regulatory authority, bank/broker, or buy-side firm.
• Experience in the securities and trading industry, with an enthusiasm for trading markets.
• Knowledge of APAC financial markets is preferred.
• Previous experience working with third-party surveillance platforms.
• Exceptional written, analytical, and research skills, with the ability to apply both quantitative and qualitative analysis.
• Strong attention to detail, organization, and effective communication skills, both verbal and written.
• Ability to work effectively and independently with all levels of management and staff.