We are seeking an Assistant Manager – Surveillance to monitor trading activities, handle regulatory compliance, and investigate alerts using TrackWizz and other surveillance tools, in line with SEBI and stock exchange guidelines.
Key Responsibilities
- Monitor real-time trading across Equity, F&O;, Currency, and Commodity segments.
- Review and close surveillance alerts (price/volume spikes, manipulation, abnormal trades)
via TrackWizz and exchange systems.
- Conduct investigations and prepare reports on suspicious or high-risk activities.
- Ensure compliance with SEBI, NSE, BSE circulars and timely submission of regulatory reports.
- Coordinate with internal teams for data, clarifications, and implementation of surveillance controls.
Requirements
- Graduate/Postgraduate in Finance, Commerce, Economics, or related field.
- 3–6 years of experience in Surveillance/Compliance in a stockbroking firm.
- Hands-on experience with TrackWizz surveillance software preferred.
- Strong understanding of capital markets and trading mechanisms.
- Valuable analytical skills; NISM certifications preferred.