Surveillance Operations and Limit Monitoring

Job Purpose - 

We are seeking a detail-oriented and proactive professional to support surveillance limit monitoring and operational activities. The role involves timely and accurate monitoring and reporting of MII limits, execution of operational processes, and coordination with internal stakeholders to ensure compliance with regulatory requirements and internal controls.

 Job Role - 

1. Oversee Surveillance Operations related activities, ensuring effective monitoring of depository-related activities and adherence to regulatory requirements.
2. Manage and guide the surveillance operations team, including workload allocation, capability building, and process governance.
3. Lead the implementation of regulatory circulars and new compliance requirements, including impact assessment, process changes, stakeholder coordination, testing, and operational readiness.
4. Drive automation and process improvement initiatives to enhance operational efficiency, reduce manual intervention, strengthen controls, and improve reporting accuracy.
5. Manage internal and external audits, regulatory inspections, and compliance reviews by coordinating with auditors, providing required documentation, and ensuring timely closure of observations.
6. Develop, review, and maintain operational documents, including Standard Operating Procedures (SOPs), Process Manuals, Process Documents, and Operating Guidelines.
7. Oversee preparation, validation, and submission of regulatory and management reports while ensuring accuracy, completeness, and adherence to prescribed timelines.
8. Act as the primary point of contact for Exchanges, Regulators, and other stakeholders for operational matters, surveillance-related queries, and compliance reporting.
9. Handle exchange observations, complaints, suggestions, and regulatory queries related to surveillance reports, operational processes, and compliance submissions, ensuring timely resolution and stakeholder satisfaction.
10. Ensure robust record management and documentation practices, maintaining audit trails and supporting regulatory compliance requirements.
11. Collaborate with cross-functional teams, including Technology, Compliance, Risk Management, Legal, Operations, and Business Units, to resolve operational issues and strengthen controls.
12. Monitor regulatory developments, industry trends, and best practices, proactively recommending process enhancements and policy updates to ensure ongoing compliance and operational excellence.
13. Ensure data confidentiality, information security, and adherence to internal control standards across all surveillance and operational activities.
14. Prepare and present management updates, MIS, risk assessments, and compliance dashboards to senior leadership and governance committees.
15. Drive continuous improvement initiatives, identifying opportunities for operational optimization, risk mitigation, enhanced surveillance effectiveness, and service excellence.
16. Promote a culture of accountability, collaboration, and regulatory compliance across the team while ensuring adherence to established policies, procedures, and organizational values.

 Qualification - 

• Post-graduate, Graduate, MBA / Chartered Accountant.