Functional Manager

Job Description

1. Timely processing of transaction monitoring of Surveillance alerts triggered in the system.
2. Preparing of case history for suspicious transactions, making presentations and filing STRs.
3. Due diligence for investigations received from SEBI or Exchanges and Handling client’s data requests received from Exchanges / Regulatory authorities.
4. Tracking and disseminating regulatory circulars, developments and guidelines from SEBI, NSE, BSE and MCX primarily for Surveillance areas.
5. Engaging with internal stakeholders for implementation of the regulatory directives and various internal policies
6. Drafting various internal compliance policies
7. Ensuring implementation of Surveillance related regulatory requirements
8. Engaging with regulators/ exchanges for seeking clarification, making representations, applications, handling inspections, audits etc.

Experience Required:

• 2-5 yrs experience in handling Stock Broking related surveillance activities is preferred

Other skills:

• The candidate must be proactive, possess strong communication (verbal and written) skills and analytical skills.
• Strong working knowledge with MS Excel, MS Word and MS Powerpoint
• Be self-directed, with the ability to proactively identify and analyze problems
• Have good organization skills with the ability to work towards and meet deadlines
• The candidate must be detail-oriented, organized and assertive
• The candidate should be adaptable to change and willing to work in a fast-paced environment with a positive attitude

Knowledge Required:

• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Understanding of securities trading, corresponding regulations and surveillance processes
• Research and analytical skills in addition to a technical aptitude

Qualification:

MBA /PGDM or professional qualification like CA/CS