12 Market Abuse Jobs

The Regulatory Control Support Compliance Surveillance - Analyst role at Deutsche Bank involves working within the Compliance Surveillance function in Deutsche India Private Limited, focusing on post-event detection of market manipulation, insider trading, and other risks as per established DB standards and regulatory requirements. The primary tasks include monitoring communication, voice, and trade data for potential breaches and conducting investigations to identify violations. This position requires close collaboration with colleagues to support the Germany region. You will benefit from a range of advantages as part of the flexible scheme, such as best-in-class leave policy, gender-neutral parental leaves, childcare assistance benefit, sponsorship for industry certifications, employee assistance program, hospitalization and life insurance, and health screening. The key responsibilities of this role include daily surveillance on trade data, researching potential violations, documenting findings, and collaborating with the Surveillance team to resolve issues. Ad-hoc Surveillance tasks may also be assigned as needed. The ideal candidate should hold a degree in finance or economics, possess knowledge of financial markets and instruments, have at least two years of banking experience with exposure to financial instruments and compliance, be fluent in English (Mandarin or Cantonese knowledge is a plus), demonstrate strong attention to detail, analytical skills, and sound judgment, exhibit teamwork, effective communication, and independence, and have proficiency in MS Office. The support provided includes training, development, coaching from experts, a culture of continuous learning, and a range of flexible benefits tailored to individual needs. Deutsche Bank encourages a culture of empowerment, responsibility, commercial thinking, initiative, and collaboration, celebrating the successes of its people and promoting a positive, fair, and inclusive work environment. For further information about Deutsche Bank, please visit the company website: https://www.db.com/company/company.htm. Join Deutsche Bank Group in striving for excellence together every day, fostering a culture of empowerment, collaboration, and inclusivity, and promoting a positive work environment for all applicants.,

As a member of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in maintaining the strength and resilience of the company. Your expertise is vital in facilitating responsible business growth by proactively identifying and addressing emerging risks. By leveraging your expert judgement, you tackle real-world challenges that have a direct impact on the company, its customers, and the broader communities we serve. Within the Risk Management and Compliance team, our culture encourages innovative thinking, challenges conventional practices, and strives for excellence in all endeavors. Joining the Compliance Conduct and Operational Risk division as an E-Communication Surveillance Personnel, you will be entrusted with the critical task of detecting potential instances of market abuse, particularly insider trading and market manipulation. Utilizing established surveillance systems, you will monitor activities across Firm and Employee accounts to ensure compliance with internal policies and regulatory requirements. Your role will be pivotal in mitigating reputational and financial risks, thereby safeguarding the firm's interests. Your key responsibilities will include reviewing communications surveillance alerts and communications subject to first-level review to identify unusual activities and potential compliance issues. Collaborating with business and compliance stakeholders, you will play a key role in identifying and escalating potential instances of market misconduct. By conducting alert-based reviews for potential violations of laws, rules, and regulations, you will contribute to upholding the highest standards of compliance. In this dynamic role, you will work alongside your peers to handle multiple reports and engage in result-oriented tasks within a fast-paced environment. Your proactive approach, coupled with a strong sense of ownership and accountability, will be instrumental in addressing existing issues and cases effectively. Additionally, you will be expected to identify areas for process improvement and actively contribute to enhancing operational efficiency. To excel in this position, you should possess a Bachelor's Degree or equivalent experience, along with a minimum of 3 years of prior E-Communication/trade surveillance experience. A solid understanding of financial products, such as equities, futures, and Fixed income, as well as familiarity with information barriers and asset management, will be beneficial. Your ability to interpret market dynamics and detect potential market manipulative behavior, in alignment with regional rules and regulations, is essential. Strong written and verbal communication skills, exceptional organizational abilities, and keen attention to detail are prerequisites for this role. You should demonstrate proficiency in handling multiple tasks simultaneously and exhibit adaptability to evolving work processes and environments. Experience with surveillance systems like Smarsh Connected Archive, NICE VOISS, or similar tools will be advantageous. By joining our team, you will have the opportunity to contribute to the continuous enhancement of our risk monitoring and compliance practices. Your dedication to excellence and commitment to upholding the highest ethical standards will be instrumental in ensuring the firm's continued success in a dynamic and ever-evolving market landscape.,

We are looking for an Immediate joiner. Mandatory Work from Office - 5 days. Job Purpose: Trade Surveillance team is responsible for assisting the client to validating the exceptions generated in the system. The incumbent will primarily be responsible for checking the alerts/exceptions generated based on the existing modules developed by the client. The incumbent will also be responsible for performing daily review of all exceptions and closing it out with an appropriate rationale and escalate to the client if there any true exceptions. Associate / Senior Associate/ Delivery Lead of the Trade Surveillance team will be an expert in the process and should be able to perform the task with minimal support of senior team members. The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster. Professionals in this role will: Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc. Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades. Regularly monitor and understand current market conditions, regulations, and changes. Have thorough understanding of the clients IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries. Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance team Functional Responsibilities: Working on daily exceptions. Preparing and updating the client SOPs as and when required. Identify gaps in existing process and suggest enhancements. Handle queries of junior team members and help them learn the process. Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team Functional Competencies: Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc. Strong Microsoft Office knowledge is required. Experience in handling different exceptions of the Trade Surveillance modules Sound knowledge of the Bloomberg terminal and its different screens Key Competencies Qualifications: MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred. Experience: 5 - 10 years of experience in Trade Surveillance role Behavioural Competencies: Team working Client Centricity Entrepreneurial Communication Clarity of Thought Self-awareness Interested candidates can DM their resume at dolimoni.kalita@acuitykp.com

About this role: Wells Fargo is seeking a Compliance Director to lead the team in Hyderabad that performs activities covering the Global Compliance Control Group, and Information Barrier and Personal Account Dealing Surveillance, outside activity pre-clearance, equity aggregation, insurance licensing and registration. The Candidate will focus on overseeing the effective and consistent execution of these teams second line of defense. These teams are part of the broader Enterprise Compliance Operations (ECO) and Conduct Risk team. About the Enterprise Compliance Operations Team: Enterprise Compliance Operations (ECO) is a team comprised of several underlying teams which are highly operational in nature and are responsible for overseeing and implementing enterprise-wide compliance policies and procedures. Those teams include the Global Compliance Control Group (Control Room) including information barrier/personal investment policy surveillance, Personal Account Dealing Team, Equity Aggregation Team, Registration and Licensing teams. These compliance operations teams cover lines of business and enterprise functions globally as they relate to the underlying team responsibilities. In this role, you will: Manage and lead team with the implementation of the companywide compliance program with high risk complexity Manage and develop the execution and challenges on compliance related decisions Direct and oversee complex regulatory environments including establishing standards Oversee the Front Line's execution and challenges appropriately on compliance related decisions Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the companywide compliance program Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements Recommend opportunities for process improvement and risk control development Identify reporting, escalation, timely remediation of issues and deficiencies or regulatory matters regarding compliance risk management Make decisions and resolve issues to meet business objectives Interpret policies, procedures, and compliance requirements Interface and foster relationships with corporate, business leaders, Legal, Audit, regulators, and industry partners on risk related topics Lead team to achieve objectives Manage allocation of people and financial resources for Compliance Develop and guide a culture of talent development to meet business objectives and strategy Required Qualifications: 18+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education 5+ years of management or leadership experience Desired Qualifications: Experience managing some or all of the following compliance teams: global Control Group teams (Control Room), Personal Account Trading, trade surveillance, outside activities, equity aggregation (large shareholder monitoring and reporting), insurance licensing and registration. Experience overseeing the implementation of a large strategic technology book of work. Focus on Global Control Group preferable Knowledge and understanding of compliance practices and methodologies, including risk assessment, monitoring, and testing activities, regulatory change Experience developing or enhancing programs that seek to address business or regulatory changes affecting current processes within an organization Experience building or maintaining key relationships across departments and functions, and establishing a culture of engagement Proven ability to positively and creatively influence change and champion critical change initiatives; help others to anticipate and manage through change Ability to work in a highly complex organization and influence the outcomes of decisions to ensure the most appropriate risk posture in a rapidly changing environment Ability to think beyond the risks today and those related to immediate activities, and to look at the risks associated with emerging technologies, capabilities and activities that could drive risks we have not previously managed Ability to create new policy, guidance, and/or guardrails in areas where there is no roadmap, rules, or previous foundation to rely upon Professional maturity and confidence in expressing a point of view with senior management Proven ability to share lessons learned and best practices across an organization Experience in project management, including the development of overall project objectives, deliverables, and strategies; identification of dependencies; and maintenance of ongoing documentation supporting project status, including core risks and obstacles. Extensively influences and negotiates with senior management, executive sponsors, and other key Anticipates emerging issues and develops strategies to meet business needs Job Expectations: Candidate will report directly to the Head of India and Philippines Compliance and have a functional dotted line to the Compliance Executive for Enterprise Compliance Operations and Conduct Risk and will work in close collaboration across and within the ECO and Conduct Risk leadership team to help achieve the teams strategic objectives and goals. Specific duties for this position include, but are not limited to: Build and retain high performing teams to assist the Candidate in achieving ECO teams strategic objectives and goals. Work closely with Compliance Program Strategy, Planning & Governance, and other Enterprise Risk Program owners to evaluate technology needs and identify technology solutions to support target state. Oversee the continued implementation of the Compliance Framework to minimize the risks associated with a highly operational compliance teams with global footprint covering most businesses, and high compliance and regulatory risk processes Drive the harmonization and rationalization of applicable compliance policies and procedures across the Teams Lead the build out of the Teams key risk and key performance indicators (KRIs and KPIs) and supervisory controls Partner with the Compliance Technology and Project Management Office to help identify and track the current manual controls that will become automated through the implementation of the IT strategic book of work Offer solutions and recommendations on how to simplify the Teams processes, improve the control framework, and assist in implementing those ideas to help achieve operational excellence and minimize compliance and regulatory risk Assist in driving the harmonization and rationalization of applicable compliance policies and procedures across the ECO teams and ensure timely updates pursuant to Risk Policy requirements Provide direct input into the ECO teams periodic Compliance Management Reporting to the Chief Compliance Officer for Compliance Risk Committee Ensure appropriate and timely identification and escalation of issues and emerging risks Oversee and credibly challenge the reporting, escalation and timely remediation of compliance-related issues Lead and actively participate as a key member of the ECO and Conduct Risk leadership team and India & Philippines Compliance Leadership meetings

Role: Team Manager: Market Surveillance Location: Pune Package up to 14 LPA Key Responsibilities: Monitor market activity, including trade volumes, order flows, and communications, to detect potential misconduct (e.g., insider trading or market manipulation). Conduct deep-dive investigations into alerts generated by trade and communication surveillance systems. Identify and escalate potential regulatory breaches or policy violations. Collaborate with global teams to enhance surveillance frameworks and ensure consistency across regions. Contribute to the enhancement of existing alerts and development of new surveillance tools, reports, and procedures. Provide timely reports to management, regulators, and internal stakeholders. Support projects related to regulatory audits, data quality, model effectiveness, and control environment improvements. Maintain and build strong working relationships with internal stakeholders across Compliance, Risk, and Front Office teams. Mandatory Experience: Minimum 4-6 years of experience in Market Surveillance with a strong focus on Fixed Income products. Deep understanding of trading practices, financial instruments, and market abuse typologies in the Fixed Income domain. Strong analytical and investigative skills. Excellent communication and stakeholder management abilities. Familiarity with global regulatory frameworks and guidelines Ability to identify trends and risks in large data sets. Experience supporting internal/external regulatory audits. Knowledge of industry surveillance tools (e.g., Actimize, SMARTS, NICE, Bloomberg Vault). To know more Call Kanika on 9953939776 or email resume to kanika@manningconsulting.in

Dear Candidate, Greetings!! Kindly find the Job Description for the Online Surveillance. Role and Responsibilities: Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions (Equity, F&O, Currency, SLBM, IRF, Commodity). Supervise routine activities as per defined SOP and TAT. Verification of surveillance alerts such as market manipulation, price / volume alerts, order spoofing, front running alerts, insider trading alerts, etc. Analyse various alerts/ exception reports on trading activities/ patterns to short-list cases which require detailed analysis/ investigation and initiate action, if warranted. Process surveillance alerts, conduct preliminary analysis and escalate suspicious transitions Conduct various type of investigation to prevent / detect suspected market irregularities and initiate appropriate escalations and actions. Ensure compliance of SEBI/Regulatory frameworks, orders, and corresponding actions Attend internal and external statutory and regulatory audits and compliances. Improve operational efficiencies by process improvements, initiating business requirements, software testing and new features / functional release implementations. Coordinate with regulators for preparing / reviewing various policies and circulars, SOPs, user manuals used for various surveillance actions. In depth knowledge of Capital, Financial and Commodity Markets and various regulatory frameworks. Functioning of surveillance systems, processing of various surveillance alerts, and taking them to logic conclusion / investigation. Various applicable Regulations applicable to MIIs i.e. SAST, PIT, PFUTP, PMLA, AML, FIU, LODR, ICDR etc. Microsoft applications such as MS Windows, word, Excel, PPT etc. Technically proficient in Software's / applications used for Surveillance related activities. Preferred Skills: Possesses strong analytical and presentation skills, excellent verbal and written communication abilities, and proficient in MS Word, Excel, and PowerPoint. Knowledge on Machine Learning Websites such as Kaggle, GitHub, Coursera etc. Hands on experience for using additional software tools like Power BI, Tableau, Python, Data Analytics etc. Sound knowledge of applicable Rules / Regulations /Acts related to capital market. Candidates with strong domain of trading / surveillance in stocks markets (Equity & Derivatives) and/or Commodity markets and /or depository transactions and/or currency markets. Candidates with domain in one of more verticals viz experience from BFSI industry, Broking Firm, Foreign Broking Houses, depositories. Clearing corporations etc. will be given preference. Additional professional certification mandatory (NISM, Risk, Fraud examiner etc.) Work Experience: 4 years to 22 years. Regards, Yashashree Wagle

To be successful as a Market Surveillance Specialist, you should have experience with : Stakeholder Management. Decision Making & Problem Solving. Strong Communication Skills. Essential Skills : Good Analytical Experience. Good Understanding in Surveillance. Strong understanding of Fixed Income/Trade Surveillance. Desired Skills : Conducting daily analysis of automated trade and communications surveillance alerts for global businesses. Identify and escalate potential breaches of regulatory rules and Barclays policies. Active involvement in enhancing current alerts and exception reports and supporting the development of new surveillance tools, reports and procedures. Provide feedback on the efficiency and effectiveness of surveillance controls to Surveillance Management. Communicate market abuse risk identified through the surveillance platform with Surveillance Management and agree clear paths to resolution. Engage with the Global Surveillance team to share knowledge and practices and promote a consistent approach across the surveillance teams. Engage with the Global Surveillance team to share knowledge and practices and promote a consistent approach across the surveillance teams FOR MORE INFO CONTACT -ALFIYA OR 8787064649 or alfiya@manningconsulting.in

Job Purpose: Trade Surveillance team is responsible for assisting the client to validating the exceptions generated in the system. The incumbent will primarily be responsible for checking the alerts/exceptions generated based on the existing modules developed by the client. The incumbent will also be responsible for performing daily review of all exceptions and closing it out with an appropriate rationale and escalate to the client if there any true exceptions. Associate / Senior Associate/ Delivery Lead of the Trade Surveillance team will be an expert in the process and should be able to perform the task with minimal support of senior team members. The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster. Professionals in this role will: Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc. Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades. Regularly monitor and understand current market conditions, regulations, and changes. Have thorough understanding of the clients IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries. Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance team Functional Responsibilities: Working on daily exceptions. Preparing and updating the client SOPs as and when required. Identify gaps in existing process and suggest enhancements. Handle queries of junior team members and help them learn the process. Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team Functional Competencies: Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc. Strong Microsoft Office knowledge is required. Experience in handling different exceptions of the Trade Surveillance modules Sound knowledge of the Bloomberg terminal and its different screens Key Competencies Qualifications: MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred. Experience: 3 - 8 years of experience in Trade Surveillance role Behavioural Competencies: Team working Client Centricity Entrepreneurial Communication Clarity of Thought Self-awareness Interested candidates can DM their resume at dolimoni.kalita@acuitykp.com

Job Description Title Investment Compliance Monitoring - Senior Associate Department General Counsel Shared Services Location Gurgaon, India Reports To Manager - Investment Compliance Monitoring Level 3 Were proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. So, join our General Counsel Shared Services Team and feel like youre part of something bigger. General Counsel Shared Services General Counsel (GC) is a trusted advisor to all parts of Fidelity International Limited (“FIL”), providing high-value independent advisory and assurance expertise through our specialist teams. GC comprises of Legal, Risk, Compliance, Tax, and Public Policy & Strategic Relationship Management. GC Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function. Global Investment Compliance: The Global Investment Compliance (GIC) function provides advice, support, oversight and challenge to teams across Fidelity’s Investment Solutions and Services (ISS) business. Stakeholders include portfolio managers, research analysts, trading desks, corporate finance, institutional teams and their respective support groups. Investment Compliance Monitoring: The Investment Compliance Monitoring team forms a crucial component of Global Investment Compliance department, with teams located in Japan, Hong Kong, London, and Gurgaon. Their primary role is to facilitate the implementation and continuous execution of surveillance activities across communication, trading, and other regulatory surveillance processes. This involves examining alerts, identifying potential market abuse or misconduct, escalating issues, supporting investigations, and strengthening surveillance controls. The team works closely with global stakeholders, aids in system testing and optimisation, and plays a key role in enhancing processes and maintaining thorough documentation. About your role You will be responsible for performing Compliance monitoring. This will include monitoring of communications (emails, Bloomberg messages, Zoom, Teams, Voice) of the firm’s investment professionals (e.g. traders, portfolio managers, research analysts), and monitoring to detect misconduct, market abuse, or behaviour that is not in accordance with the firm’s policies. In addition, there will be opportunities to perform other monitoring performed by the firm’s Investment Compliance function. Key Responsibilities Assist with the performance of periodic and recurring surveillance controls pertaining to FIL’s investment management and client brokerage activities; Monitoring of electronic communications and trading activities using vendor and proprietary tools. This will primarily consist of reviewing exceptions and performing further investigation where required; Assist with and lead data-driven deep dives and thematic reviews with relation to best execution, conduct of business, customer treatment & conflicts of interest, and market conduct; Identify, escalate, resolve, track and report compliance exceptions in-line with internal policy and regulatory requirements; Ongoing calibration and administration of the monitoring tools and production of management information and reports; Participate in ongoing change management initiatives by contributing to planning, testing, and implementation of systems or procedural changes; Monitor post-implementation performance and flag deviations or unintended consequences; Act as a liaison between Compliance, Technology, and Business teams to ensure seamless adoption of changes; Develop effective working relationships with other functional areas for timely receipt of information required for the completion of tasks; Perform tasks within defined SLAs and assist in other projects or tasks, as required. Experience and Qualifications Required 5-7 years of relevant experience in monitoring and surveillance within the financial services industry; Bachelor of Business or Commerce preferred; Highly motivated, able to think logically, critically and quickly, with an ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks; Excellent communication and interpersonal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables; Good understanding of concepts and practices relating to trading, investment management and research; Familiarity with data visualisation tools and AI-enabled platforms would be an advantage; Working knowledge of international regulatory frameworks and strong understanding of market abuse typologies; Familiarity with designing systems testing plans and test cases, with a keen interest in emerging technologies. Feel rewarded For starters, we’ll offer you a comprehensive benefits package. We’ll value your wellbeing and support your development. And we’ll be as flexible as we can about where and when you work – finding a balance that works for all of us. It’s all part of our commitment to making you feel motivated by the work you do and happy to be part of our team. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com. For more about our work, our approach to dynamic working and how you could build your future here, visit careers.fidelityinternational.com.

We are seeking an experienced Investment Compliance Manager to join our Capital Markets and Investment Operations division. The ideal candidate will bring deep knowledge of pre- and post-trade compliance, regulatory monitoring, and hands-on expertise with tool like Charles River. You will work closely with global stakeholders, traders, portfolio managers, and audit teams to ensure our investment activities remain compliant with client mandates and regulatory guidelines. Key Responsibilities: Oversee investment guideline monitoring for mutual funds, UCITS, and institutional portfolios, ensuring adherence to SEC 1940 ACT, prospectus, and internal restrictions. Conduct pre-trade and post-trade compliance reviews. Interpret investment mandates and extract rules to build and maintain compliance rule matrices. Manage the transition of clients from legacy systems (e.g., MIG21) to CRD, ensuring accurate rule migration and testing. Lead and mentor a team of analysts , driving performance management, technical training, and process improvement. Collaborate with cross-functional teams for client onboarding, change management, and audit support. Conduct compliance testing, investigations , and root cause analysis on rule violations and trading exceptions. Analyze exception-based reports for AML, market manipulation, and short-term trading risks. Maintain and update restricted securities/watchlists , investment policies, and procedural documentation. Provide compliance reporting and metrics to senior management, regulators, and auditors

We are conducting Virtual Walk-In drive on Saturday, 17th May for Trade Surveillance role. Immediate joiners to 30 days notice period candidates are preferrable. Job Location: Bangalore, Mandatory WFO Experience: 3 - 8 years of experience in Trade Surveillance role Job Purpose: Trade Surveillance team is responsible for assisting the client to validating the exceptions generated in the system The incumbent will primarily be responsible for checking the alerts/exceptions generated based on the existing modules developed by the client. The incumbent will also be responsible for performing daily review of all exceptions and closing it out with an appropriate rationale and escalate to the client if there any true exceptions. Associate / Senior Associate/ Delivery Lead of the Trade Surveillance team will be an expert in the process and should be able to perform the task with minimal support of senior team members. The incumbent should be able to handle queries of the junior team members and share best practices with them and help them come up the learning curve faster Professionals in this role will: Be required to have strong understanding of investment instruments like equities, debt, mortgages, derivatives etc. Have sound understanding of different Trade Surveillance modules and perform comprehensive investigations on potentially non-compliant trades Regularly monitor and understand current market conditions, regulations, and changes. Have thorough understanding of the clients IT architecture, data flows and organizational structure and should be able to navigate through the system to find answers & resolve queries. Have frequent interactions with business groups including the Vice President and Executive Directors of onshore Trade Surveillance team Key Responsibilities: Functional Responsibilities: Working on daily exceptions Preparing and updating the client SOPs as and when required Identify gaps in existing process and suggest enhancements Handle queries of junior team members and help them learn the process Demonstrate ownership of the activities performed and be accountable for overall delivery of some work types within the team Functional Competencies: Sound understanding of investment instruments like equities, derivatives, fixed income instruments etc. Strong Microsoft Office knowledge is required Experience in handling different exceptions of the Trade Surveillance modules Sound knowledge of the Bloomberg terminal and its different screens Key Competencies Qualifications: MBA - Finance / CFA, Law, or Compliance related qualification. Capital Markets knowledge/NCFM certifications, preferred. Behavioral Competencies: Team working • Client Centricity • Entrepreneurial • Communication • Clarity of Thought • Self-awareness

We are seeking an experienced Investment Compliance Manager to join our Capital Markets and Investment Operations division. The ideal candidate will bring deep knowledge of pre- and post-trade compliance, regulatory monitoring, and hands-on expertise with tool like Charles River. You will work closely with global stakeholders, traders, portfolio managers, and audit teams to ensure our investment activities remain compliant with client mandates and regulatory guidelines. Key Responsibilities: Oversee investment guideline monitoring for mutual funds, UCITS, and institutional portfolios, ensuring adherence to SEC 1940 ACT, prospectus, and internal restrictions. Conduct pre-trade and post-trade compliance reviews. Interpret investment mandates and extract rules to build and maintain compliance rule matrices. Manage the transition of clients from legacy systems (e.g., MIG21) to CRD, ensuring accurate rule migration and testing. Lead and mentor a team of analysts , driving performance management, technical training, and process improvement. Collaborate with cross-functional teams for client onboarding, change management, and audit support. Conduct compliance testing, investigations , and root cause analysis on rule violations and trading exceptions. Analyze exception-based reports for AML, market manipulation, and short-term trading risks. Maintain and update restricted securities/watchlists , investment policies, and procedural documentation. Provide compliance reporting and metrics to senior management, regulators, and auditors