Assistant Manager QA (Market Surveillance Compliance) (Mumbai)

Hiring: Quality Assurance Assistant Manager (Market Surveillance Compliance) Location: Mumbai (Hybrid) Employment Type: Full-Time Job Summary We are looking for an experienced Quality Assurance Assistant Manager to join the Compliance & Market Surveillance function. The role is responsible for performing quality assurance reviews of Trade Surveillance and Electronic Communications investigations by re-performing controls, assessing investigation quality, identifying gaps, and ensuring adherence to internal policies, regulatory requirements, and market surveillance standards. The ideal candidate should have a strong background in Capital Markets, Market Surveillance, Compliance, or Financial Crime, with excellent analytical, investigative, and reporting skills. Key Responsibilities - Verify that investigations comply with internal policies, procedures, and regulatory expectations. - Identify gaps and recommend corrective actions where required. Electronic Communications Quality Assurance - Review completed Electronic Communications investigations. - Evaluate alert reviews based on timeliness, quality of investigation, documentation, and closure. - Ensure potential risks have been appropriately assessed and mitigated. Reporting & Governance - Prepare QA reports highlighting trends, observations, and recurring issues. - Recommend remediation plans and track corrective actions. - Escalate significant findings to management where required. - Support management reporting and surveillance governance activities. - Assist in regulatory and internal investigations when required. Required Skills & Experience - 712 years of experience in Banking, Financial Services, Investment Banking, Compliance, or Capital Markets. - Solid understanding of - Capital Markets - Market Abuse & Market Manipulation - Trade Surveillance - Electronic Communications Surveillance - Regulatory Compliance - Experience conducting QA reviews, control testing, or surveillance investigations. Preferred Skills - Knowledge of trade lifecycle and market conduct regulations. - Experience with surveillance platforms such as: - NASDAQ SMARTS - Bloomberg - Advanced Microsoft Excel skills (Pivot Tables, VLOOKUP, XLOOKUP, data analysis). - Experience preparing management reports and quality metrics. - Capital Markets or Investment Banking certifications are preferred. Education - Bachelor's Degree (Finance, Commerce, Business, Economics, or related discipline) - Capital Markets certifications will be an added advantage. Location: Mumbai (Hybrid) Interested candidates can apply with their updated resume on meghana.narasimhan@kiya.ai Please include the following details in your email: Total Experience Relevant Experience Current CTC Expected CTC Notice Period Current Location Immediate joiners or candidates serving short notice periods will be preferred. .