Compliance - Trade Surveillance


Company Type


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.

Job Description

  • 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

Business/Department Objectives:

To identify and escalate possible market manipulation and possible market abuses being conducted via Citi’s trading activities in the respective markets.

Core Responsibilities:

  • 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

Organizational Relationships:

  • Reports to Direct: Team Lead

Career Progression:

  • 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 @

APAC-IND-MH-Mumbai Compliance and Control Full-time Master's Degree Day Job Regular No

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Confirmed 7 hours ago. Posted 30+ days ago.

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