Manager - Trade Surveillance Compliance

Responsibilities:

• Thorough knowledge of SEBI (Prevention of Insider Trading) Regulations and Circulars / notifications issued thereunder from time to time
• Drafting the Policies and FAQs pertaining to PIT both for a listed Company and a SEBI registered intermediary
• Defining and disseminating the various processes as may be required to give effect to the provisions of above Policies
• Making changes / modifications in the above policies from time to time as required and disseminating the same to all employees
• Owning and maintaining / operating the System which is used to provide approvals / rejections to employees for trading in securities market. And undertaking the changes / modifications in the system as required in coordination with IT team
• Obtaining the Annual Declaration from all the employees and maintaining the records of the same
• Attending to various queries as may be raised by the employees pertaining to Employee trading
• Analyzing the trades of the employees to identity the trades which are in violation of Policies and taking the corrective measures
• Placing the changes in policies and instances of violations before the Committee / Senior Management as the case may be

• Requires a broad understanding of what constitutes conflict of interest
• Drafting the Policy and FAQs for (a) Employees personal conflict of interest and (b) Conflict of interest between various businesses of the Company
• Defining and disseminating the various processes as may be required to give effect to the provisions of above Policies
• Owning and maintaining / operating the System which is used to provide approvals / rejections in the conflict scenarios. And undertaking the changes / modifications in the system as required in coordination with IT team
• Educating the various businesses on Conflict of interest and Company policy around it
• Attending to various queries as may be raised by the employees pertaining to Conflict of interest

Placing the changes in policies and MIS on conflict scenarios before the Committee / Senior Management as the case may be

Functional Competencies:

• Good understanding of PIT regulations
• Experience in preparing reports and policies
• Good research and analytical skills
• Presentation, MIS reports development skills, MS office skills

Detail-minded; be able to ensure data completeness and accuracy