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VP - ISG Trade Surveillance

Mumbai, MH
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  • Banking & Finance
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Job Details

The Head of offshore ISG Trade Monitoring 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 and guide junior members in the team;-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)-7+ 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;-Preference will be given to candidates with relevant experience in Trade Surveillance;-At least 2 years of People Management;-Pragmatic and analytical problem solving skills;-Attention to detail;-Excellent verbal and written English communication skills; and-Knowledge of trade booking and settlements for Asia Pacific markets is helpful.
Degree: CA (Chartered Accountant) | ICWA | MBA/ PGDM

Additional Degree: B.Com. (Commerce)

Experience: 7-12


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