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 India's 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 new system enhancements/Model reviews as appropriate.
- Assisting with the design and implementation of recent 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.
What makes you a good fit?
- 2-3 years of relevant experience.
- MBA Finance/CA/FRM
- Relevant trade surveillance experience with a broker/financial institution in business compliance or with a securities regulator. Preference will be given to candidates with relevant experience in electronic communication Surveillance.
- Basic understanding and knowledge of trading mechanisms across different financial instruments/markets and applicable market regulations.
- Product knowledge across the various asset class types: Equities, Fixed Income, Derivatives.
- Prior Mutual Fund related experience/Knowledge of Bloomberg system would be an added advantage.
'Axis AMC is an equal opportunity employer, committed to fostering an inclusive and diverse workplace.'