The scope of work includes offshoring administrative and Level I support to Capital Markets Surveillance

Direct Responsibilities

• Review analyse and investigate market abuse trading activity generated by an automated monitoring system AT LEVEL 1 in accordance with relevant review process as defined in the operating guidelines.
• Obtain and upload analysis results and relevant material for record keeping purposes and conclude the alerts with the indicative target timelines without compromising the quality and completeness of the analysis
• As necessary, use available research tools (e.g. Bloomberg, Reuters) to identify publicly available information concerning transactions to be identified for further investigation
• Escalate suspicious trading activity deserving of further investigation to On shore
• MIS and reporting of daily activities on timely manner.

Contributing Responsibilities

• Ensure escalation by Investigator is proper, in a timely manner and supported by relevant information and due diligence search results
• Comply with procedure and other relevant policies/ procedures and regulations, and industry best practice
• Collaborate and work effectively with team members and relevant stakeholders
• Be supportive and adaptive to changes of procedures and scope of work
• Meet the QA requirements and the expected daily volume

Contributing towards additional team and individual responsibilities.

Technical & Behaviour Competencies

• Demonstrate personal initiatives, ownership and accountability
• Strong Focus on Meeting Deadlines
• Additional European language skills preferred
• System Skills on Symantec/CA DLP/Autonomy/Global Relay / NICE / FUSION to conduct Electronic Communication Surveillance. Any One of the above systems is an added advantage 

Specific Qualifications (if required)

• Professional level knowledge of securities and banking regulation.
• Fluent reading proficiency in English.
• Knowledge of trading and business terminology.
• 3+ years' surveillance/compliance experience within a financial services/securities environment. 
• knowledge of MS office specifically Excel.