A. AI Security:

- Implement AI security controls for:
- Algo-trading engines
- Market surveillance ML models
- Customer segmentation & risk-profiling models
- LLM-based advisory/chatbot systems
- Recommendation models for stocks, MFs, IPOs

- Conduct AI Threat Modelling against market-manipulation risks:

- Prompt injection on advisory chatbots
- Model poisoning / manipulation influencing trade recommendations
- Data leakage of PII or financial data
- Adversarial signals altering market prediction models
- Abuse of LLM-based customer support for unauthorized trading queries

- Monitor model behaviour drift that could impact:

- Risk scoring (e.g., M2M, margins)
- Trading algorithms
- Investor suitability models

- Ensure secure integration of LLM or CoPilot features inside trading apps.
- Oversee access security for AI pipelines, market data feeds (NSE/BSE), and model storage.

B. AI Governance & Regulatory Compliance

- Build and maintain an AI Governance Framework aligned with:
- SEBI AI/ML Guidelines (Expected)
- SEBI Cyber Security & Cyber Resilience Framework (CSCRF)
- DPDP Act 2023
- ISO 42001




- NIST AI Risk Management Framework

- Conduct AI Impact Assessments.
- Ensure all AI-generated insights are auditable and regulator-ready.

C. Data Governance & Privacy for AI

- Protect PII and financial transaction data used for AI training:
- PAN, Aadhaar (masked), bank details
- Income proofs, KYC documents
- Trade history & investment profiles

- Conduct Privacy Impact Assessments for AI/ML deployments.

Technical Skills:

- Understanding of AI/ML systems used in broking:
- Fraud analytics
- Surveillance models
- Algo-trading risk parameters
- LLM-based customer support

- Experience with securing LLMs and generative AI in high-risk financial environments.
- Familiarity with adversarial ML and model hardening techniques.

Governance & Compliance Skills

- Understanding of SEBI regulations on AI/ML, digital governance, and investor protection.
- Robust documentation skills for audits (SEBI & Exchange inspections).
- Experience with ISO 27001, 27701, 42001, DPDP etc.

📌 Senior Manager - AI Security & Governance Specialist (Pune)
🏢 Bajaj Broking
📍 Pune