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 settings.
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 (India)
🏢 Bajaj Broking
📍 India