FS​/Trade Surveillance – Risk and Compliance – Principal, Business Consulting

FS/ Trade Surveillance – Risk and Compliance – Principal, Business Consulting

Domain

Consulting

Interest Group

Company

ITL USA

Requisition

142477

Position
: T rade Surveillance - Risk & Compliance

Role
:
Principal

Location
:
Richardson, TX

• Collaborate with compliance, risk, and tech teams to shape and execute trade surveillance strategies.
• Define and document business requirements, user stories, and functional specs to support system development and upgrades.
• Analyze trade and order data (SQL required) to validate inputs, map attributes, and support data reconciliation.
• Conduct gap assessments to identify control weaknesses and propose targeted solutions.
• Support end-to-end delivery - requirements, design, testing, implementation, and post-deployment support.
• Lead and coordinate UAT activities, issue resolution, and user training sessions.
• Stay ahead of market abuse regulations (e.g., MAR, MiFID II, Dodd-Frank) and drive compliance through platform enhancements.
• Work across multiple asset classes and understand how different products impact surveillance coverage.

• 3-5+ years as Functional Consultant in capital markets or financial services, with a focus on trade surveillance.
• Hands‑on experience with tools like Actimize, SMARTS, Trading Hub or similar surveillance platforms.
• Proficiency in SQL and experience working with large datasets and trade/order data.
• Solid understanding of financial products: equities, fixed income, FX, and derivatives.
• Familiarity with Agile methodology and SDLC processes.

• Experience with BI tools (Power BI, Tableau).
• Knowledge of OMS/EMS platforms and electronic trading flows.

• Strong analytical, reporting, and communication skills to present risk insights to senior stakeholders.
• Bachelor’s degree or foreign equivalent; or three years of relevant work experience in lieu of every year of education.
• Demonstrated ability in defining, mobilizing and delivering complex change programs in large organizations.
• Strong background of leading teams, comprising both IT and business specialists.
• A demonstrable ability to turn business requirements into technology solutions with the commercial acumen to create supporting business cases.
• Excellent presentation and facilitation skills with ability to build relationships at senior management and CXO levels.
• Successful business development history including exposure to each of the various aspects of a typical sales cycle.
• All candidates must be willing and able to travel up to 100%, depending on client requirements.

• MBA or equivalent advanced degree.
• Experience of leading programs where stakeholder engagement is a key requisite to achieving successful program/project delivery.
• Proven ability to deliver under tight deadlines and challenging constraints.
• Ability to collaborate within the firm and leverage existing resources.
• Demonstrate thought leadership, ability to conceptualize and drive new solution / service offerings and take them to market.

Ability and willingness to work as part of a cross-cultural team including flexibility to support multiple time zones when necessary. Long with competitive pay, as a full‑time Infosys employee you are also eligible for the following benefits:

• Medical/Dental/Vision/Life Insurance
• Long‑term/Short‑term Disability
• Health and Dependent Care Reimbursement Accounts
• Insurance (Accident, Critical Illness, Hospital Indemnity, Legal)
• 401(k) plan and contributions dependent on salary level
• Paid holidays plus Paid Time Off

Candidates authorized to work for any employer in the United States without employer‑based visa sponsorship are welcome to apply. Infosys is unable to provide immigration sponsorship for this role at this time.

The job entails sitting as well as working at a computer for extended periods of time. Should be able to communicate by telephone, email or face to face. Travel may be required as per the job requirements.

Infosys provides equal employment opportunities to applicants and employees without regard to race; color; sex; gender identity; sexual orientation; religious practices and observances; national origin; pregnancy, childbirth, or related medical conditions; status as a protected veteran or spouse/family member of a protected veteran; or disability.