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

Position: T rade Surveillance - Risk & Compliance
Role: Principal
Location: Richardson, TX

Key Responsibilities
• 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.
Key Qualifications
• 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.
Nice to Have
• Experience with BI tools (Power BI, Tableau).
• Knowledge of OMS/EMS platforms and electronic trading flows.

Basic Qualifications

• 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

Preferred Qualifications

• 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.

Client-provided location(s): Richardson, TX

Job ID: Infosys-139929BR

Employment Type: OTHER

Posted: 2025-10-06T18:36:28