Trade Surveillance Lead.
This mandate is run by SYMPHONI HR, a Mumbai-based executive search firm, est. 2003. Applications are email-verified and reach the search team running the role — confidentially, always.
About the organisation.
Our client is a leading global financial services institution with a significant presence in international markets. They are committed to maintaining the highest standards of market integrity and regulatory compliance across their diverse trading operations. The firm fosters a professional, fast-paced environment that values analytical rigor and technical expertise.
About the role.
We are seeking an experienced Trade Surveillance professional to join our team in Mumbai. You will be responsible for overseeing trading activities to ensure adherence to global regulatory standards and internal policies. This role is critical in identifying potential market abuse and ensuring the firm maintains its reputation for excellence and compliance.
What you will do.
- Monitor trading activities across equities, derivatives, fixed income, and commodities to ensure regulatory compliance.
- Review and investigate alerts related to potential market abuse, including insider trading, spoofing, and market manipulation.
- Manage the full lifecycle of surveillance alerts, ensuring thorough documentation, timely closure, and escalation of suspicious activities.
- Ensure strict adherence to regulatory requirements with a specific focus on EMEA market standards.
- Prepare and manage Suspicious Transaction and Order Report (STOR) filings.
- Collaborate with cross-functional teams to enhance automated surveillance systems and data visualization capabilities.
What you bring.
- 10–15 years of hands-on experience in trade surveillance within a financial services environment.
- Bachelor’s degree in Finance, Economics, Business, or a related quantitative field.
- Proficiency in surveillance platforms such as Nasdaq Trade Surveillance, Actimize, SMARTS, or Trading Hub.
- Expertise in utilizing market data tools including Bloomberg and Reuters.
- Deep understanding of regulatory frameworks, market conduct rules, and EMEA regulatory reporting requirements.
- Strong analytical skills with the ability to interpret complex data sets and identify patterns.
- Prior exposure to advanced automated surveillance systems and data visualization tools.
Other open roles.
GCP Product Manager — Pune · Hybrid
Lead Analyst, Liquidity Risk Reporting — Chennai · Hybrid
Vice President, Third-Party Risk Management — Noida · Hybrid