Sign In
 [New User? Sign Up]
Mobile Version

Manager - ISG Trade Surveillance

Mumbai, MH
Job Code:
  • Banking & Finance
Applying for this job will take you to an external site
  • Shortlist
  • Email Friend
  • Print

Job Details

The Core Compliance Surveillance Manager will have several areas of responsibility including, but not limited to, following-Participate in defining and documenting the operating processes for processing Monitoring models;-Lead by example -Help the senior manager in making the team and processes more efficient;-Create Management Information Reports on a periodic basis;-Monitor development in regulatory requirements and adjust surveillance models accordingly;-Review and analyze trade surveillance reports and vendor surveillance system alerts, and sign off alert completion related to employee, client and firm trading activities; -Conduct investigations on irregularities and abnormal activities and document findings; and-Escalate unresolved issues or potential violations of the Morgan Stanleys policies or external rules and regulations to his/her Manager, Coverage Compliance and Senior Management of Business Units. Interaction with IT-Work with IT and / or vendors in developing new tools;-Participate in Requirement drafting and User Acceptance Testing of new models/reports; and-Assess adequacy and effectiveness of surveillance and enhance existing surveillance models. QUALIFICATIONSSkills required (Essential)-4-6 years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;-Excellent knowledge about equity markets; and-Preference will be given to candidates with relevant experience in Trade Surveillance.-Industry qualifications i.e. Post Graduate / MBA in Finance-Knowledge of global markets / market regulations-Desirable 12 months experience in a similar profile/industry.-Understanding the implications of risk involved.-Strong Communication skills-Strong Analytical Skills and attention to detail-Pragmatic and analytical problem solving skills-Experience interpreting laws or regulations-Knowledge of trade booking and settlements for Asia Pacific markets is helpful-Experience of managing a team
Degree: MBA/ PGDM

Additional Degree: BA (Arts) | B.Com. (Commerce) | B.Pharm. (Pharmacy) | B.Plan. (Planning) | B.Sc. (Science) | BBA/ BBM/ BBS | BCA (Computer Application) | Diploma-Other Diploma | B.Ed. (Education) | BHM (Hotel Management)

Experience: 4-6


Finance/Budgeting | Financial Analysis | Funds Management | Investment Banking
Applying for this job will take you to an external site


© Copyright 2015 Al Nisr Publishing LLC - powered by Gulf News