Trade Support Senior Associate

Mumbai - India

Monthly Salary: Not Disclosed

Posted on: 3 hours ago

Vacancies: 1 Vacancy

Job Summary

Job Description:

I. Trading Controls:

Review the design and effectiveness of front office trading controls including pre- trade and post-trade controls.
Assess preventative and detective controls across all asset classes including Equities Fixed Income Currencies Commodities and Derivatives.
Evaluate controls mitigating risks related to market abuse trading booking lifecycle unauthorised trading limit monitoring and breaches best execution conflicts of interest
Ensure alignment with relevant regulatory frameworks (e.g. MIFID II MAR SEC etc.)
Conduct control gap assessments and root cause analyses.
Draft findings and recommendations.
Engage with stakeholders to present the results of control testing.

II. Trade Surveillance:

Evaluate the design and effectiveness of trade surveillance controls.
Conduct periodic testing of alert generation escalation and closure processes.
Review the completeness and accuracy of surveillance alerts and perform sample testing.
Ensure compliance with Market Abuse Regulations as well as FINRA and CFTC monitoring requirements.
Identify control gaps in the surveillance process and perform root cause analyses.
Draft findings and recommendations.
Engage with stakeholders to present the results of control testing.
Monitor remediation plans for identified issues.
III. Trade and Transaction Reporting:
Execute control testing to assess the design and effectiveness of trade and
transaction reporting processes.
Evaluate the effectiveness of preventative and detective controls.
Ensure compliance with regulatory guidelines including MIFID II.
Identify control deficiencies and conduct root cause analyses.
Draft findings and recommendations.
Engage with stakeholders to present the results of control testing.
Track remediation efforts and validate the issues raised.

Job Description: I. Trading Controls: Review the design and effectiveness of front office trading controls including pre- trade and post-trade controls. Assess preventative and detective controls across all asset classes including Equities Fixed Income Currencies Commodities and Derivative...