About APAC REGIONAL COMPLIANCE COE - Mumbai
APAC Regional Compliance COE - Mumbai conducts Trade/Market Surveillance on trading activities for equities, fixed income and derivative products in APAC countries (except Korea).
Role Outline/Job Summary
The primary responsibility of the candidate is to perform Equities, Fixed Income and Currency surveillance by using the relevant surveillance systems and tools in analyzing relevant facts.
- Position Title: Assistant Manager (Trade Surveillance Analyst)
- Business Group: Compliance
- Department: Compliance COE - Surveillance
- Grade/Level: C10/11
- Function/Group: Regional Compliance
- Location: Mumbai
- Financial/Budgetary: No
- Individual Contributor (IC)/Managerial: Team member
- Percentage of Travel: No
- Relocation: No
Role and Responsibilities
To identify and escalate possible market manipulation and possible market abuses being conducted via Citi’s trading activities in the respective markets.
- Daily analysis and investigation of alerts generated by an Automated Trade Surveillance solution, across Equities, Fixed Income, FX and Derivatives covering Market Abuse and Insider Dealing behaviors for allocated jurisdictions
- Investigate in depth matters identified with a minimum level of supervision to determine whether violations of exchange rules or trade behavior warrant escalation to country Markets Compliance for appropriate action
- Produce surveillance reports and analysis within the standard turnaround time with proper documentation and reporting of findings of alerts investigations, follow-ups and escalations.
- Provide all relevant details to the Sub-Team Leads, Functional Head or the COE Head for any calls and discussions with Country Markets Compliance Officers around issues or concerns.
- Provide updates and keep the Sub-Team Leads and Functional Head informed on the country's oversight of the surveillance function for timely resolution of surveillance issues or exceptions
- Assist in the periodic review of surveillance program or process to address control and risk areas
- Proactively monitor market news to gather appropriate knowledge on market and regulatory developments affecting surveillance of one’s respective market coverage
Day-to-Day Responsibilities: Same as above
Key Deliverables: Alerts analysis and timely escalations
- Graduate of any Business-related course
- Experience working within the financial industry especially in securities dealing/brokering, is highly desired
- Should have a strong interest in the Equity and Debt securities markets
- At least 4-7 years’ work experience within Financial industry or Compliance environment
- Knowledge of financial products specifically equities, fixed income, commodities and currencies, including trading mechanism and typical sales and trading flow
- Able to perform technical and fundamental analysis and carry out data mining and trend analysis
- Able to work as a team member or independently as required
- Able to effectively communicate
- Able to handle multiple tasks at once
- Possess good problem solving and solution finding skills
- Possess a high degree of professionalism
- Reports to Direct: Team Lead
- The role will be a key for developing a robust surveillance team in India and expand coverage to various coverage identified by the Region
To know more about Citi, We encourage you to visit our career website @ www.online.citibank.co.in/careers/citi-india.htm
Compliance and Control