Manager_Online Surveilance_Mumbai

Position Name:- Online Surveillance - Mumbai

Department : Manager- Online Surveillance 

Experience: -8-11 Years(Post Graduate),11-14 Years(Graduate)

Location : Mumbai

Roles & Responsibilities :

1. Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions  (Equity, F&O, Currency, SLBM, IRF, Commodity).

2. Supervise routine activities as per defined SOP and TAT.

3. Verification of surveillance alerts such as market manipulation, price / volume alerts, order spoofing, front running alerts, insider trading alerts, etc.

4. Analyse various alerts/ exception reports on trading activities/ patterns to short-list cases which 
   require detailed analysis/ investigation and initiate action, if warranted.

5. Process surveillance alerts, conduct preliminary analysis and escalate suspicious transitions

6. Conduct various type of investigation to prevent / detect suspected market irregularities and initiate appropriate escalations and actions.

7. Ensure compliance of SEBI/Regulatory frameworks, orders, and corresponding actions

8. Attend internal and external statutory and regulatory audits and compliances.

9. Improve operational efficiencies by process improvements, initiating business requirements, software testing and new features / functional release implementations.

10. Coordinate with regulators for preparing / reviewing various policies and circulars, SOP’s, user manuals used for various surveillance actions.

11. Sound knowledge of Capital, Financial and Commodity Markets and various regulatory frameworks.

12. Functioning of surveillance systems, processing of various surveillance alerts, and taking them to logic conclusion / investigation.

13. Various applicable Regulations applicable to MIIs i.e. SAST, PIT, PFUTP, PMLA, AML, FIU, LODR, ICDR etc.

14. Microsoft applications such as MS Windows, word, Excel, PPT etc.

 

Preferred Skills:

1. Possesses strong analytical and presentation skills, excellent verbal and written communication abilities, and proficient in MS Word, Excel, and PowerPoint. 
2. Hands on experience for using additional software tools like Power BI, Tableau, Python, Data Analytics etc. 
3. Sound knowledge of applicable Rules / Regulations /Acts related to capital market. 
4. Candidates with strong domain of trading / surveillance in stocks markets (Equity & Derivatives) and/or Commodity markets and /or depository transactions and/or currency markets. 
5. Candidates with domain in one of more verticals viz experience from BFSI industry, Broking Firm, Foreign Broking Houses, depositories. Clearing corporations etc. will be given preference. 
6. Additional professional certification mandatory (NISM, Risk, Fraud examiner etc.)

 

Please share your updated resume along with following details :  

Current Designation:   

Current Organization:   

Total Experience:  

Qualification (with passing years):   

Current CTC:                          

Expected CTC:                      

Notice Period:                     

Current Residence location:   

Native Place:   

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Have you been approached or interviewed earlier for any opening in this company, if yes, when –