Market Surveillance Compliance Program – Officer

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 an Officer to join our team of market surveillance specialists within the Financial Crimes Compliance (FCC) program at State Street Investment Management. The ideal candidate will bring proven experience and deep knowledge of financial markets, market abuse regulations, and surveillance practices including communications, and transaction monitoring. You should be adept at identifying and investigating suspicious activities, interpreting complex regulatory directives, and applying best practices in market surveillance. Strong analytical skills, attention to detail, and the ability to work collaboratively within a high-performing team 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 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: Regularly seek ways to enhance surveillance processes using available technology and tools. Identify areas to drive efficiency and consistency, recommend automation, adopt advanced analytics, and provide feedback on system enhancements. Stay open to innovation.

8. Flexibility & Adaptability: Be ready to adjust to changing team and business needs, such as 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.
• 8–10+ years of progressive experience in Compliance (asset management/wealth or banking), including market surveillance program execution.
• Strong understanding of financial products and asset classes.

Experience at an investment management firm

About State Street

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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