- The Surveillance Analyst will have several areas of responsibility including, but not limited to, following:
- Review and analyze trade surveillance reports/ alerts, and sign off alert completion related to employee and client trading activities;
- Conduct investigations on irregularities and abnormal activities and document findings;
- Participate in defining and documenting the operating processes for processing Monitoring reports;
- Help the senior manager in making the team and processes more efficient;
- Create Management Information Reports on a periodic basis;
- Escalate unresolved issues or potential violations of the Morgan Stanley’s policies or external rules and regulations to his/her manager, Coverage Compliance and Senior Management of Business Units.
- Possess excellent knowledge of financial instruments and markets.
- Basic understanding and knowledge of trading mechanisms across different financial instruments/ markets.
- Should possess knowledge of trade booking and settlements
Skills and Qualities:
- Industry Qualifications I.e. Post Graduate / MBA In Finance
- Knowledge of global markets / market regulations
- Desirable up to 12 months experience in a similar profile/industry.
- Understanding the implications of risk involved.Excellent verbal and written English communication skills ability to effectively correspond with various groups and senior professionals over email and the telephone
- Strong Analytical Skills and attention to detail
- Experience interpreting laws or regulations
- Knowledge of trade booking and settlements
- Must be able to maintain a high level of organization under pressure
- 0-2 years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;
- Preference will be given to candidates with relevant experience in Trade Surveillance.
- Monday to Friday from 09:00AM to 6:00PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays)