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Compliance Trading Analyst

Russell Investments

Russell Investments

IT, Legal
Mumbai, Maharashtra, India
Posted on Thursday, May 23, 2024

Business Unit:

Compliance, Risk and Internal Audit

Reporting To:

Global Compliance Trade, Reporting and Surveillance Manager


EMEA/UK (1:30 pm – 10:30 pm IST) (India)

About Russell Investments, Mumbai:

Russell Investments is a leading outsourced financial partner and global investment solutions firm providing a wide range of investment capabilities to institutional investors, financial intermediaries, and individual investors around the world. Building on an 87-year legacy of continuous innovation to deliver exceptional value to clients, Russell Investments works every day to improve the financial security of its clients. The firm is the world’s sixth-largest investment adviser, with $1 trillion in assets under advisement (as of June 30, 2022) and $288.3 billion in assets under management (as of March 31, 2023) for clients in 30 countries. Headquartered in Seattle, Washington in the United States, Russell Investments has offices around the world, including London, New York, Toronto, Sydney, Tokyo, Shanghai – and has opened a new office in Mumbai, India in June 2023.

Joining the new Mumbai office is an incredible opportunity to work closely with global stakeholders to support the technology and infrastructure that drives the investment and trading processes of a globally recognized asset management firm. Be one of the first to join this new team based out of Goregaon (East) in Mumbai and be a part of creating the foundation and culture for the firm’s growing operations in India. The Mumbai office operates 5-days a week from Monday to Friday with varying shifts to accommodate time zones around the world.

For more information, please visit https://www.russellinvestments.com.

Job Description:

Years of Experience

1-2 years of work experience in trading and/or investment management industry.


  • A Bachelor’s degree. Accounting, Business, Finance, or Management Information Systems preferred.
  • Relevant internship or 1-2 years of work experience in trading and/or investment management, including previous experience with guideline monitoring and regulatory reporting for equities, fixed income, FX and derivatives preferred.
  • Experience with Bloomberg AIM is preferred but not required.
  • A passion for and strong understanding of financial markets and investing, including securities laws and the regulatory environment, including knowledge and/or exposure to US, European, Canadian, and Asia Pac regulatory requirements.
  • Proficient Excel skills.

Special Requirements



  • Conducting surveillance of order and trade activities to identify potential regulatory violations (e.g., market access breaches, short sale violations, misreported trades), and policy breaches (e.g., information barrier breaches) using internal and vendor surveillance tools and automated exception reports.
  • Liaise with Portfolio Managers and traders to help resolve portfolio exceptions and questions related to trading activity.
  • Perform daily compliance exceptions monitoring by analyzing and validating exceptions by monitoring global equity, fixed income and multi-asset portfolios to ensure investment guideline/mandate compliance.
  • Report actual violations accurately and timely and follow through to resolution
  • Assist in preparing monthly and quarterly compliance trading related reports for internal and board reporting purposes.
  • Developing knowledge of global regulation and firm policies related to trading and trade surveillance, including identifying, tracking and monitoring regulatory developments related to global trading regulations and analyzing the business impact.
  • Conducting global jurisdictional reviews by monitoring investment positions for concentration limits, short selling, and beneficial holdings reporting.
  • Administer additional control and monitoring functions, such as regulatory reporting at a Global level (Dodd Frank, Mifid 2, EMIR, FinFrag, ASIC etc.)

Candidate Requirements

  • Have excellent organization skills, the ability to prioritize effectively, and have the ability to work under pressure without compromising quality.
  • Have a proactive approach to tasks and responsibilities.
  • Are motivated to work in a multicultural and international environment.
  • Are analytical and have a process-oriented mindset.
  • Have the ability to multi-task effectively and handle change well. Are a results-oriented team player with the ability to work cross-functionally in a team environment.

Core Values

  • Strong interpersonal, oral, and written communication and collaboration skills with all levels of management
  • Strong organizational skills including the ability to adapt to shifting priorities and meet frequent deadlines,
  • Demonstrated proactive approach to problem-solving with strong judgment and decision-making capability.
  • Highly resourceful and collaborative team-player, with the ability to also be independently effective and exude initiative and a sense of urgency.
  • Exemplifies our customer-focused, action-oriented, results-driven culture.
  • Forward looking thinker, who actively seeks opportunities, has a desire for continuous learning, and proposes solutions.
  • Ability to act with discretion and maintain complete confidentiality.
  • Dedicated to the firm’s values of non-negotiable integrity, valuing our people, exceeding client expectations, and embracing intellectual curiosity and rigor.

Visit us: https://russellinvestments.com/us/careers