ICRM / Compliance & Surveillance Analyst

Job Title: ICRM / Compliance & Surveillance Analyst

Location: Mumbai

Mindlence is hiring experienced Compliance & Surveillance professionals for opportunities across ICRM, Personal Trading, Communications Surveillance, Trade Surveillance, and Registration & Licensing.

Key Responsibilities:

• Review and investigate surveillance alerts, exceptions, employee trading activity and communications for potential policy or regulatory concerns.
• Analyze and reconcile complex trading, transaction and surveillance data to identify anomalies and potential breaches.
• Review personal trading/pre-clearance activity, account disclosures and compliance exceptions where applicable.
• Document investigations, dispositions and findings accurately and escalate issues appropriately.
• Support regulatory inquiries, examinations, ad-hoc reviews and compliance projects.
• Work closely with Compliance, Legal, Business and Risk stakeholders to resolve potential issues.
• Maintain strong adherence to applicable regulations, internal policies and risk/control frameworks.

Ideal Candidate:

• 2+ years of experience in Compliance, Surveillance, Personal Trading, Trade Surveillance, Communications Surveillance, Regulatory Compliance or ICRM.
• Knowledge of compliance regulations, risks, controls and surveillance typologies.
• Strong analytical, investigative and reconciliation skills.
• Experience with NICE Actimize, NICE CS, Verba or Orchestria is preferred for relevant roles.
• Exposure to Equities, ETD, FX, Fixed Income, MAR, MiFID or Unauthorized Communication Channels is an advantage.
• Strong communication, stakeholder management and MS Excel skills.
• Bachelor's degree in Finance, Commerce, Business, Law or a related discipline.

About Mindlance:

Founded in 1999, Mindlance has been ranked as one of the fastest growing US Staffing firms by SIA for 9 consecutive years. We provide Technology, Engineering, Digital / Creative / Marketing, Clinical Research, Scientific, Finance, Professional and Payroll Management staffing services to Global 1000 companies across the US, Canada and India.

Mindful of the opportunity gap, we provide balanced solutions for employers and job seekers. We empower job seekers with opportunities to advance their careers and enhance their skills while elevating recruitment standards and fostering a more mindful, balanced workplace.

EEO:

Mindlance is an Equal Opportunity Employer and does not discriminate in employment on the basis of – Minority/Gender/Disability/Religion/LGBTQI/Age/Veterans.