Role

Assistant Manager - Surveillance and Investigation

Location

Mumbai

Qualification Profile

B.com/M.com/MBA

Experience

3

Job Responsibilities

- Assistant Manager – Surveillance and Investigation

- Detailed Job description :

- To handle day to day activities pertaining to Surveillance & investigation of Equity, Equity F&O; and Currency Derivatives segment to ensure data integrity, Regulatory compliance, timely submission of Regulatory reports, ad hoc queries raised by Regulator and MIS. ~~ - To analyse and evaluate the alerts from depositories, surveillance system and the scrips referred by SEBI. ~~ - Checking ad hoc MIS for senior management. ~~ - Computation of monthly penalties and solving queries from members with respect to quarterly shareholding disclosure of securities. ~~ - Issuance of circulars - Checking and issuing circulars on website accurately and to draft circulars in order to disseminate the directions issued by SEBI.



~~ - Make necessary updates in the system for debarred entities. Sending letters to the concerned member & mails to the concerned departments if the entities mentioned therein are registered with the Exchange. ~~ - Evaluation and analysis of alerts - Analysis of alerts sent by surveillance, depositories or scrips referred by SEBI and preparing the closure report thereof. ~~ - Handling queries, preparing reports during SEBI inspection and quarterly disclosures. ~~
- Key Skills and Experience:

- Knowledge of Capital and Currency Market, Exchange and SEBI compliance. ~~ - Knowledge of MS Excel, Business analysis tools etc. ~~ - Should be able to draft letters and communicate with market participants. ~~ - NISM certifications would be preferred. ~~ - Exchange background would be preferred. ~~

📌 Assistant Manager - Surveillance and Investigation (India)
🏢 Metropolitan Stock Exchange of India
📍 India