Department: Compliance

Designation: Assistant Manager

Experience : 6+ Years

Please note that only candidates who are currently working in the broking industry are eligible to apply.

Key Deliverables

- Monitoring and closure of trade and DP surveillance alerts in compliance with SEBI, Stock Exchange (NSE/BSE), and Depository (NSDL/CDSL) regulations.
- Implementation of regulatory requirement w.r.t the internal surveillance alert mechanism.
- Timely identification, investigation, and escalation of suspicious trading patterns and demat account activities, including off-market transfers and client modifications.
- Accurate and timely regulatory reporting and responses to exchanges, depositories, and regulators within prescribed timelines.
- Preparation of periodic MIS on surveillance alerts and regulatory submissions.
- Coordination with Branch, RMS, DP operations and IT teams to ensure regulatory adherence.
- Periodic review of Surveillance policies, Internal SOPs and Alert-handling frameworks.

Competencies Required

- Robust understanding of capital markets,



trading mechanisms, and depository operations.
- Working knowledge of SEBI regulations, Exchange surveillance frameworks, and NSDL/CDSL operations.
- Ability to interpret trading data, demat movements, and client behavior patterns.
- Proficiency in Excel, MIS preparation, and surveillance/back-office systems.

Essential Education & Experience Qualifications

- Education: Graduate or Postgraduate in Commerce/ Finance.
- Certifications: NISM Series VII Securities Operations and Risk Management and or NISM e-learning Certification on Transaction Monitoring and Suspicious Transaction Reporting.
- Experience: 6+ years of relevant experience in surveillance within a Stock Broking and Depository Participant.
- Tools & Systems (Preferred): Familiarity with TrackWizz surveillance platform or similar surveillance tools preferred.

Interested candidates can share cvs on [email protected]

📌 Opportunity For Trade Surveillance_Compliance with SBI Securities (Mumbai Suburban)
🏢 SBICAP Securities
📍 Mumbai Suburban