Market Surveillance, Assistant Vice President Job Vacancy in State Street Bengaluru, Karnataka – Updated today
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Company Name : State Street
Location : Bengaluru, Karnataka
Position :
Job Description : State Street Global Advisors (SSGA) Market Surveillance (MS) function, established in 2015 and located both in Boston and Bangalore, monitors trading and detects and prevents market abuse/manipulation practice. The daily surveillance program includes review of both electronic and voice communication and trade surveillance. SSGA is expanding its MS Center of Excellence for coverage beyond the existing investment organization to include the broker dealer distribution business, and we are hiring a surveillance lead in Bangalore to lead team of Market surveillance analyst who conduct daily communication and trading monitoring for SSGA investment personnel and FINRA registered representatives in the distribution business
As the surveillance Lead , your key responsibilities are:
Strong people manager to oversee all aspects of the surveillance program and manage the surveillance Bangalore team, consisted of surveillance analysts from Associate to Officer levels
Lead the Broker Dealer expansion and build a center of excellence for all surveillance under SSGA
Review communication and trade surveillance for assigned investment/trading groups, raise inquiries of suspicious red flags of violating regulatory rules or internal policies, analyze, investigate, draw conclusions and communicate monitoring results and escalation to business representatives and other constituents
Work with market surveillance Bangalore and Boston teams, SSGA Trading, Investment, Distribution, Compliance, Operations, Investment Oversight, Business Controls, IT and other State Street functions in a fast-paced challenging environment and multi-task effectively and demonstrate proactivity
Help generate ideas, test and enhance automated transaction surveillance reports at both individual transaction level and historical data over time to identify inappropriate trading/investment patterns and anomalies
Committed to continue developing in-depth knowledge of financial markets, asset management, stay informed of global regulatory and market structure changes, and maintain subject matter expertise on surveillance industry trends and technology development
Champion risk excellence through diligent execution of surveillance monitoring, evaluate and explore surveillance methodologies and technology for continuous optimization, proposing and implementing ideas to manage new technology platforms roll-out and evolve the surveillance program
We are looking for an inquisitive and motivated individual to complement the existing surveillance team.
Possess strong surveillance expertise and knowledge of managing a surveillance program in the asset management firm with multiple asset classes and financial products (e.g., Equity, cash , Fixed Income, and Foreign Exchange), and investment firm broker dealer compliance program experience,
Needs to be a FINRA 7/24 licensed with experience in broker dealer communication supervision and compliance
Has experience in managing teams and carries strong leadership skills and experience
Possess a strong analytical background and research capability to analyze large amount of trading and investment data, develop thoughtful analysis, and summarize insights logically, and communicate analysis result concisely.
Have great project management and organizational skills to handle multiple projects and deliver under tight deadline.
Be detail oriented and possess high ethical standards to safeguard confidentiality as well as confidence to speak up and raise issues
Preferable to have IT skills (e.g., Excel/Macros/Visual Basic/Tableau/SQL/Python)
Additionally, foreign language (e.g., Japanese and Chinese) skills a plus.
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