GM - Investigations - Stock Exchange

Key Responsibilities:

Conduct Investigations:

- Identify potential violations of regulations and trading rules.

- Collect and analyze data related to trading activities, including order books, transaction details, and market data.

- Investigate specific cases, including preliminary inquiries and formal investigations.

- Gather evidence through interviews, document review, and other investigative techniques.

Data Analysis and Reporting:

- Analyze market data to identify patterns, anomalies, and potential irregularities.

- Prepare detailed reports summarizing findings and recommendations for regulatory action.

- Present findings to internal stakeholders and regulatory authorities.

Regulatory Compliance:

- Stay up-to-date with relevant regulations and guidelines.

- Ensure that all investigative activities are conducted in accordance with legal and ethical standards.

- Coordinate with other departments within the stock exchange and regulatory bodies.

Other Responsibilities:

- Participate in the development and implementation of surveillance systems and procedures.

- Provide support to other teams within the stock exchange as needed.

- Contribute to the overall improvement of market integrity and investor protection.

Skills and Qualifications:

Education:

- Bachelor's degree in finance, economics, law, or a related field.

- Relevant experience in financial markets, regulatory compliance, or investigations.

Skills:

Strong analytical and problem-solving skills.

Excellent communication and interpersonal skills.

Familiarity with financial markets and regulations.

Proficiency in data analysis tools and software.

Ability to work independently and as part of a team.

Knowledge:

Knowledge of securities laws and regulations.

Understanding of market microstructure and trading mechanisms.

Familiarity with investigative techniques and procedures.