Job Description/ Responsibility:
Transaction monitoring Alerts- Investigation for alerts
Depository Alerts- Analysis for alerts received from the depositories
Exchange Alerts- Analysis for trades received from the exchanges
STR Reporting- Preparing of GOS and Reporting such cases to FIU within the specified timelines
Inspection of Branches and Authorised Persons
Sample Recordings
Submission of Quarterly report on surveillance alerts for every quarter
Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews.
Improving surveillance tools and applications by coordinating with technology on the timely implementation of enhancements and proactively addressing potential issues.
Gathering, reviewing, investigating and analyzing trade data as well as responding to regulatory inquiries from each of the major regulatory bodies (e.g. SEBI/NSE/BSE/MCX, FIU, other enforcement agencies).




Coordinating with Exchanges on trade surveillance and FIU on and AML Surveillance related matters.
Performs basic, preliminary surveillance for trading in specified products
Monitoring trading activity in markets to detect anomalies by reviewing electronically generated alerts
Conduct analysis to identify potential risks for the Firm and escalate relevant matters to a Principal officer
Perform historical research and review of alert trends and exceptions reported
Identify improvement areas and opportunities for automation
Keep abreast of trading system updates and products to implement effective surveillance oversight.
Ensure compliance with Prevention of Insider Trading regulations

Qualification: CA/CS/MBA/ Graduate having relevant experience of 2-3 years

📌 Assitant Surveillance Manager (Mumbai)
🏢 InCred Capital
📍 Mumbai