Job Description: Risk & Surveillance Executive Stock Broking
Department: Risk Management / Surveillance
Designation: Risk & Surveillance Executive
Industry: Stock Broking / Capital Markets
Location: Ahmedabad
Employment Type: Full-time
1. Job Purpose
To monitor trading activities, manage client and broker-level risks, identify suspicious or abnormal trading patterns, and ensure compliance with the rules and regulations prescribed by SEBI, stock exchanges (NSE/BSE), and other applicable regulatory authorities.
2. Key Responsibilities
A. Risk Management

- Monitor client-wise and broker-level exposure across Equity, Derivatives, Currency, and other applicable segments.
- Monitor margin requirements, margin shortfalls, collateral availability, and client risk positions.
- Track clients with high exposure, leveraged positions, inadequate margins, and potential default risk.
- Monitor mark-to-market (MTM) losses and take appropriate action as per the company's risk management policy.
- Initiate square-off or position-reduction measures in accordance with approved policies and delegated authority.
- Monitor client trading limits, turnover limits, exposure limits, and margin utilization.
- Review clients with repeated margin shortfalls, debit balances, or overdue payments.
- Coordinate with RMS, dealing, back-office, and accounts teams for timely resolution of risk-related issues.
- Maintain records of risk alerts, margin calls, client communications, and actions taken.

B. Trading Surveillance

- Monitor trading activities for unusual price movements, abnormal volumes, and suspicious trading patterns.
- Capable for daily BOD and EOD process in ODIN / Omnesys / Greeksoft
- Identify potential cases of self-trades, circular trading, synchronized trades, excessive order modifications, and other unusual trading behaviour.
- Review client trading patterns for possible market manipulation, insider trading indicators, or other suspicious activity, and escalate concerns to the Compliance Officer.
- Monitor high-value trades, concentrated positions, frequent intraday activity, and unusual activity in illiquid securities.
- Review alerts generated by exchange surveillance systems and internal monitoring tools.
- Investigate alerts, document findings, and ensure timely closure with appropriate supporting evidence.
- Monitor client, dealer, and terminal-level trading activity for possible misuse or violations of internal policies.
- Escalate suspected violations, abnormal trading activity, and potential regulatory concerns to the designated authority.

C. Regulatory Compliance & Reporting

- Assist in implementing applicable SEBI, NSE, BSE,



and other exchange-prescribed risk management and surveillance requirements.
- Monitor compliance with applicable margin, position-limit, collateral, and exposure requirements.
- Assist in reviewing exchange circulars and implementing relevant changes in internal risk controls.
- Maintain surveillance registers, exception reports, alert logs, and investigation records.
- Support preparation and submission of applicable exchange reports and responses to regulatory queries, in coordination with the Compliance Officer.
- Ensure that surveillance alerts are investigated and closed within prescribed internal or regulatory timelines.
- Support internal audits, exchange inspections, and compliance reviews by providing relevant records and evidence.

D. Client Risk Monitoring

- Monitor client debit balances, margin shortfalls, and outstanding obligations.
- Identify clients requiring enhanced monitoring based on risk exposure, trading behaviour, or payment history.
- Coordinate with the concerned teams for margin collection and risk mitigation.
- Assist in reviewing client trading limits based on available collateral, risk profile, and internal policies.
- Ensure proper documentation of client communications and actions taken in risk-related matters.

E. MIS & Reporting

- Prepare daily risk reports covering exposure, margin utilization, MTM losses, debit balances, and margin shortfalls.
- Generate daily surveillance reports highlighting unusual trading patterns and unresolved alerts.
- Prepare exception reports for high-risk clients, concentrated positions, and limit breaches.
- Maintain accurate records of investigations, escalations, corrective actions, and alert closures.
- Provide periodic MIS to the Risk Manager and Compliance Officer.
- Suggest improvements to risk controls, surveillance processes, and reporting systems.

3. Qualifications & Experience

- Educational Qualification: Graduate in Commerce, Finance, Economics, Business Administration, or a related discipline.
- Preferred Qualification: MBA (Finance), NISM certification, or relevant capital-market certification.
- Experience: 13 years of experience in stock broking, RMS, trading surveillance, risk management, or capital-market operations. Freshers with relevant knowledge may be considered for junior roles.




- Technical Skills:
- Valuable knowledge of the Indian stock market and trading mechanisms.
- Understanding of Equity and Derivatives segments.
- Working knowledge of margin requirements, MTM, collateral, exposure, and position limits.
- Proficiency in MS Excel, including formulas, PivotTables, and report preparation.
- Experience with broking front-office, back-office, RMS, or surveillance software is preferred.
- Ability to analyse trading data and identify exceptions.

4. Key Skills & Competencies

- Robust analytical and numerical skills.
- Attention to detail and ability to identify unusual trading patterns.
- Understanding of risk controls and regulatory requirements.
- Sound judgement and timely escalation of potential risks.
- Good communication and coordination skills.
- Ability to work under pressure during volatile market conditions.
- High standards of integrity, confidentiality, and professional ethics.
- Strong documentation and reporting skills.

5. Key Performance Indicators (KPIs)

- Timely monitoring of client exposures, margin shortfalls, and risk limits.
- Timely identification and escalation of abnormal trading activity.
- Percentage of surveillance alerts investigated and closed within defined timelines.
- Accuracy and timeliness of daily risk and surveillance MIS.
- Compliance with applicable internal risk policies and regulatory requirements.
- Reduction in unresolved exceptions and repeat risk-control breaches.
- Quality of audit documentation and closure of audit observations.
- Timely escalation of potential client defaults and other material risk events.

6. Authority & Escalation

- Monitor trading activity and flag risk-limit breaches in accordance with approved procedures.
- Recommend restrictions, limit reductions, or other risk-mitigation measures to the authorised person.
- Initiate actions specifically delegated under the company's approved RMS policy.
- Escalate material risk events, suspected market abuse, and regulatory concerns to the Risk Manager and/or Compliance Officer.
- Maintain complete documentation of decisions, approvals, and corrective actions.

7. General Responsibilities

- Maintain confidentiality of client information and sensitive trading data.
- Follow the company's policies, standard operating procedures, and applicable regulatory requirements.
- Coordinate with dealing, operations, accounts, technology, and compliance teams.
- Participate in risk reviews, internal audits, and process-improvement initiatives.
- Perform other risk management and surveillance activities assigned by the reporting manager.

📌 Risk & Surveillance Executive Stock Broking (Ahmedabad)
🏢 Amrapali Online Venture
📍 Ahmedabad