Market Surveillance Compliance Program – Senior Associate

Location: Bengaluru (Bangalore), India

Time Type: Full time

Work Model: Hybrid
Business: State Street Investment Management – Market Surveillance

Who we are looking for

We are seeking a Senior Associate to join our team of market surveillance specialists within the Financial Crimes Compliance (FCC) program at State Street Investment Management. The ideal candidate will have foundational knowledge of financial markets and a keen interest in market abuse regulations and surveillance activities, such as communications and transaction monitoring. You should be eager to learn, detail-oriented, and able to work collaboratively in a dynamic team environment. Strong analytical skills, curiosity, and a commitment to integrity are essential for success in this role.

Why this role is important to us

The Market Surveillance team is central to protecting our clients, funds, and the firm’s reputation by proactively detecting and preventing market abuse, executing critical surveillance activities required by regulators across multiple regions and legal entities, and ensuring our operations remain compliant and resilient. This role directly strengthens our governance, regulatory posture, and operational resilience, while shaping a culture of integrity and transparency that goes beyond compliance to support the firm’s long-term success.

What you will be responsible for

Market Surveillance – Communications Review & Trade Monitoring

1. Daily Communications Reviews & Trade Monitoring: Every day, you will systematically review communications (emails, chats, calls) and /or monitor trades that have been flagged by surveillance systems. The goal is to spot signs of market manipulation, such as Insider trading, Wash trading, Spoofing/layering, Front running and other misconduct.

2. Quality & Timely Reviews: Ensure that every review of communications and transactions is thorough, accurate, and completed within the required timeframes using documented procedures, policies and guidelines, and escalate issues promptly. Timeliness is crucial for regulatory compliance and risk mitigation.

3. Maintain Accurate Records: Document every investigation with clear, factual commentaries, including the rationale for closure or escalation.

4. Raise & Investigate Red Flags: When suspicious activity is detected, raise inquiries, analyze the facts, investigate thoroughly, and present to the team for discussions and further escalation.

5. Stay Updated on Policies & Market News: Continuously monitor changes in firm policies, regulatory requirements, and market developments that could affect trading behavior.

6. Teamwork & Program Support: Work collaboratively with colleagues to achieve the objectives of the market surveillance program. Share insights, support team initiatives, and contribute to a positive, productive work environment.

7. Continuous Improvement: Suggest ideas to enhance surveillance processes and adopt new technologies and tools.

8. Flexibility: Adapt to changing team and business needs, including shifting priorities or urgent investigations.

What we value

• Market Surveillance: Ability to understand financial products and manipulation techniques/theories and how to capture those instances with minimal oversight.
• Regulatory Judgment: Strong capability to interpret communications and trades in connection with regulatory requirements, external events including firm policies, etc.
• Communication & Influence: Clear, concise writing and executive‑ready storytelling; ability to influence without direct authority across global, cross‑functional stakeholders.
• Quality Orientation: Meticulous attention to detail; consistent on‑time delivery in a dynamic, deadline‑driven environment.

Education & Preferred Qualifications

• Bachelor’s degree required (e.g., Business, Finance, Accounting). Advanced degree and professional certifications preferred.
• 3–6+ years of progressive experience in Compliance (asset management/wealth or banking).
• Knowledge of financial products and asset classes.