Surveillance Manager

Surveillance:

• Understanding various financial products (Equities, Equity Derivatives, DP services, PMS, etc.).
• Analysing exchange surveillance alerts (trade reversal, order spoofing, large order cancellation, etc.) and preparing responses to regulatory queries
• Analysing in-house surveillance reports, maintaining records, and taking action as needed
• Ensuring surveillance reviews are performed properly (qualitative and timeliness perspective)
• Participating in surveillance software development and identifying process gaps to implement controls.
• Participating in periodic risk assessments
• Identifying and implementing process improvement ideas to enhance efficiency
• Assisting in framing SOPs and surveillance policies
• Preparing updates on the surveillance reports as per regulatory requirements and reporting to management in a timely manner.
• Analysing risk by monitoring the transactions as per PMLA and SEBI regulations.