investment compliance monitoring-sr associate in gurgaon

posted
contact
randstad india
position type
permanent
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posted
location
gurgaon, haryana
function
Banking & finance
position type
permanent
experience
2
reference number
63975
contact
randstad india

job description

investment compliance monitoring-sr associate in gurgaon

Purpose of the Role
You will be responsible for monitoring communications (emails, Bloomberg messages, Zoom, Teams, Voice) of the firm’s investment
professionals (e.g. traders, portfolio managers, research analysts), 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
 Monitoring of communications using the firm’s communications monitoring tool. This will primarily consist of reviewing
exceptions and performing further investigation where required.
 Ongoing calibration and administration of the communications monitoring tool and production of management information and
reports.
 Assist with the performance of recurring exception monitoring of firms trading and other investment activities. This includes
exceptions and incidents such as best execution, fair allocation, market conduct, and conflicts of interest;

skills

compliance monitoring, investment compliance

qualification

Any