Manager - Market Surveillance

Job Family:

GIC Process (India)

Travel Required:

None

Clearance Required:

None

Manager - Surveillance

The Market Surveillance Compliance team sits within the Global Compliance Department. The team strives to detect potential insider trading, market abuse, violations of regulations and policies related to information barriers, and/or violations of firmwide trading policies through established advanced technology-based trading surveillances. Market Surveillance focuses on establishing surveillances to cover all business units globally. The opportunity within Market Surveillance exists in the Chennai office and will focus on surveillance alerts, ad-hoc investigations arising from internal escalations and regulatory inquiries, as well as project-based work on building out trade-surveillance parameters underpinning new surveillance technologies.

What You Will Do:

As the Team Manager, you will be responsible for leading, motivating and overseeing the day-to-day management of a team of Trade Surveillance Analysts. Your key responsibilities will include (but not limited to) the following-

• Co-ordinate and manage the day-to-day activities of the team
• Motivating, coaching, and developing the team to achieve excellence in their daily deliverables.

• Ensure key SLAs of the Process are met consistently
• Recognize opportunities for improvements to procedures by pro-actively offering ideas and solutions
• Encouraging team input into procedures and practices – assisting them in developing their ideas.
• Responsible for all pertinent Reporting.

Surveillance Focus:

• Team will be working on conducting daily reviews and analysis of trading activity across Equity, FI, FX, Derivatives and other asset classes, utilizing surveillance tools and techniques to identify potential market abuse or irregularities.
• Identify trends and behaviors that may indicate market manipulation, such as front-running, wash trading or spoofing.
• Escalate suspicious activities to senior management and compliance teams, providing detailed and accurate analysis.

Regulatory Compliance:

• Ensure adherence to global regulatory frameworks, including but not limited to MiFID II, MAR, Dodd-Frank, and other jurisdiction-specific rules.
• Collaborate with compliance and legal teams to maintain a robust surveillance framework aligned with evolving regulations.

Cross-Asset Expertise (Beneficial):

• Contribute to surveillance efforts across equities, rates, and fixed income, leveraging a multi-asset perspective to strengthen overall surveillance capability.

Stakeholder Collaboration:

• Partner with front-office teams, compliance, and technology to ensure surveillance systems and methodologies are effective and up to date.
• Provide insights and recommendations for process improvements and control enhancements.
• Manage allocation of people to ensure commitments are met and align with the strategic objectives within the business group.

Reporting and Documentation:

• Prepare clear, concise, and timely reports for senior management and regulators.
• Maintain meticulous records of all investigations and outcomes.

What You Will Need:

• 10+ years of experience in a trade surveillance role out of which 3+ years in leadership role within a bank, regulator, or similar financial institution.
• Effective management and leadership skills.
• Work with managers across all business unit functions to resolve risk issues as appropriate.
•  Delivery and monitoring of key risk/management indicators, delivery of management reporting.
•  Strong knowledge of market abuse behaviors and tactics, including insider trading, spoofing, layering, and other forms of manipulation.
•  Solid understanding of global regulatory frameworks and regulations such as MiFID II, MAR, Dodd-Frank, and others.
•  Expertise in surveillance is essential, with demonstrated experience monitoring Equity, FX, FI, spot, forward, and derivatives markets.
• Proficiency in surveillance tools such as NICE Actimize, Nasdaq, Trading Hub, Reuters, Bloomberg or similar platforms.
• Exposure to FX, Commodities is highly advantageous.

What Would Be Nice To Have:

• Experience with Microsoft Office (especially Word, PowerPoint, Access, and Excel).
• Technical and data manipulation experience with Excel (pivot tables, VLOOKUP)
• Ability to communicate results of complex analytic findings to both technical and non-technical audiences.
• Analytical mindset with the ability to assess complex trading behaviors and identify anomalies.
•  Strong written and verbal communication skills for drafting reports and engaging with stakeholders.
•  Proactive, detail-oriented, and capable of working under pressure in a fast-paced environment.
• Team player with a collaborative approach to problem-solving.
• Relevant Certifications NISM, CFA preferred.

What We Offer:

Guidehouse offers a comprehensive, total rewards package that includes competitive compensation and a flexible benefits package that reflects our commitment to creating a diverse and supportive workplace.

About Guidehouse
Guidehouse is an Equal Employment Opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, national origin, ancestry, citizenship status, military status, protected veteran status, religion, creed, physical or mental disability, medical condition, marital status, sex, sexual orientation, gender, gender identity or expression, age, genetic information, or any other basis protected by law, ordinance, or regulation.

If you have visited our website for information about employment opportunities, or to apply for a position, and you require an accommodation, please contact Guidehouse Recruiting via email at [email protected]. All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodation.

Guidehouse does not accept unsolicited resumes through or from search firms or staffing agencies. All unsolicited resumes will be considered the property of Guidehouse and Guidehouse will not be obligated to pay a placement fee.