Job Title: Team Member - Trade and Communication Surveillance
Department: Risk Team
Position Grade Range: Basis eligibility and evaluation
Location: Lower Parel, Mumbai
Who we Are
Axis Asset Management Company Ltd (Axis AMC), founded in 2009, is one of Indias largest and fastest-growing mutual funds. We proudly serve over 1.3 crore customers across 100+ cities with utmost humility.
Our success is built on three founding principles:
- Long Term Wealth Creation
- Customer-Centric Approach
- Sustainable Relationships
Our investment philosophy emphasizes risk management and encourages partners and investors to move from transactional investing to fulfilling critical life goals. We offer a diverse range of investment solutions to help customers achieve financial independence and a happier tomorrow.
Our recent accolades:
- Great Place to Work Certification (Feb 2024- Feb 2025)
- Brandon Hall Group HCM Excellence Awards for Learning Development 2022 - Silver Award
- Morningstar Awards 2022: Best Fund House: Equity, Debt Overall
- Outlook Money Awards 2021: GOLD in Equity AMC of the Year 2021
- World Leadership Congress Awards 2022: Business Transformation Leadership Awards Digital Transformation Project (Mobile App)
Key Responsibilities:
To help the organization in establishing, implementing, and overseeing various Risk
Management practices and policies. To monitor a firm s trading activity using surveillance
applications to safeguard the firm against any reputational and/or financial risk.
- Assisting team members with daily reviewing and analyzing of surveillance s and/or
exception reports. Properly documenting the review and disposition of the exceptions with
an appropriate rationale as well as escalating matters with relevant stakeholders if there are
any true exceptions.
- Review of various modes of recorded communication, i.e. chats, voice, CCTV etc. used by the investment team and identify any unusual activity and potential risk issues.
- Participating in periodic review of surveillance s to ensure optimal quality is being
achieved.
- Assisting with the UAT of recent system enhancements/Model reviews as appropriate.
- Assisting with the design and implementation of new surveillance s as well as refinement
of existing ones.
- Gathering and analyzing trades data to assist in the firm s response to inquiries received from Exchanges/SEBI or other regulatory bodies.
- Assisting management in their response to inquiries or requests from internal partners (e.g.
Internal Audit, compliance etc.)
- Remain updated on developments and changes concerning relevant regulatory regulations.
Disclaimer : This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.