Role & responsibilities
- Monitor daily trading activities to detect unusual or suspicious trading patterns.
- Review and investigate exchange-generated and internal surveillance alerts.
- Identify potential instances of:
- Front running
- Insider trading
- Circular trading
- Pump and dump activities
- Market manipulation
- Client-dealer collusion
- Conduct trade investigations and document findings with appropriate evidence.
- Coordinate with Compliance, Risk, Operations, and Business teams for closure of alerts and escalations.
- Prepare and submit periodic surveillance MIS and regulatory reports.
- Monitor employee trading activities and adherence to internal dealing policies.
- Ensure compliance with regulatory requirements prescribed by market regulators and stock exchanges.
- Assist during regulatory inspections, internal audits, and exchange queries.
- Recommend improvements to surveillance frameworks and processes.
- Stay updated with changes in market regulations and surveillance guidelines.
Preferred candidate profile
- 2-3 years of experience in trade surveillance, compliance, or risk within a broking or financial services organization.
- Experience handling exchange and depository surveillance alerts.
- Exposure to regulatory reporting and suspicious transaction investigations.