Role

Surveillance Senior Manager

Qualification

Law Graduate (LLB) or LLM

Location

BKC, Mumbai

Experience

Postgraduate/Graduate with 8–10 years of experience in the depository or broking function. Prior experience of working in the legal department of a DP/broking firm, with in-depth knowledge of SEBI (D&P;) Regulations and the Depositories Act

Job Description

- Interpret, analyze, and implement regulatory directions received from SEBI and other statutory authorities in a timely and accurate manner

- Handle critical matters, including orders issued by courts, tribunals, and other legal or quasi-judicial authorities

- Manage the freezing and unfreezing of client accounts and securities in line with regulatory, legal, and surveillance requirements

- Ensure timely, accurate, and effective communication with internal and external stakeholders for regulatory responses, closures, and compliance-related actions

- Prepare, validate, and submit data and information to internal teams and external stakeholders,



including SEBI and other regulators

- Maintain and manage regulatory and legal documentation such as SOPs, user manuals, legal records, presentations, and related documents

- Collaborate closely with internal departments to address regulatory, compliance, and operational matters

- Support surveillance-related activities and facilitate inter-departmental coordination on regulatory issues

- Ensure ongoing compliance with applicable SEBI regulations, circulars, guidelines, and other regulatory requirements

- Handle SEBI and other regulatory audits, including preparation of responses and follow-up actions

- Prepare and maintain MIS, periodic reports, and dashboards for management review and regulatory submissions

- Participate in User Acceptance Testing (UAT) for system enhancements, regulatory changes, and process improvements

📌 Surveillance Senior Manager (India)
🏢 National Securities Depository
📍 India