Surveillance Optimisation Assistant Vice President.
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.
SYMPHONI HR is partnering with a leading global banking and financial services organisation to hire for a senior compliance surveillance role. The client operates at significant scale across financial markets, with a strong emphasis on regulatory rigour, market integrity and continuous improvement. The culture values collaboration, clear documentation and accountability across compliance, technology and business teams.
About the role.
The Surveillance Optimisation AVP supports the ongoing development, optimisation and effectiveness of the Market Surveillance programme based in Pune. You will assess surveillance scenarios and model performance, analyse results, and identify opportunities to improve surveillance coverage, data quality and alert productivity. The role works closely with Surveillance Operations, Compliance Technology, Business Oversight Compliance and Product Compliance. You will also lead a team and present recommendations to governance forums.
What you will do.
- Conduct regular and ad-hoc assessments of market surveillance scenarios for effectiveness and efficiency.
- Perform ongoing monitoring and testing of surveillance models to confirm they operate as intended.
- Identify optimisation opportunities through improved data quality, risk coverage and alert productivity.
- Monitor order flows, prices, trading volumes and transactions to identify potential market misconduct.
- Support investigations into market manipulation, insider trading and other forms of market abuse.
- Manage the surveillance optimisation book of work and model inventory, and present recommendations to governance forums.
- Support regulatory enquiries, internal and external audits, and produce accurate, timely reporting.
- Lead a team, set objectives, coach colleagues and execute controls aligned to the control framework.
What you bring.
- Proven experience supporting the maintenance, assessment or optimisation of a Markets Surveillance programme.
- Strong understanding of surveillance scenarios, model performance, alert generation and scenario testing.
- Strong knowledge of market abuse typologies, including market manipulation and insider trading, and how they appear in trading and transaction data.
- Detailed understanding of MiFID II and MAR and how they influence surveillance programmes.
- Good understanding of data analytics used to assess surveillance effectiveness and reduce unproductive alerts.
- Experience in Trade Surveillance, Compliance Surveillance, Market Conduct Risk or a related Financial Crime function is a strong plus.
- Understanding of financial markets, traded products, order flows and market conduct risks.
- A relevant degree in finance, economics, mathematics, computer science or a related discipline, with strong analytical and problem-solving skills.
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