Job Description

Job Title: Team Member-Trade & Communication Surveillance

Department: Risk

Reports To: Senior Manager-Risk

Location: Lower Parel, Mumbai

Who we Are?

Axis Asset Management Company Ltd (Axis AMC) was founded in 2009 and is amongst India s largest and fastest growing mutual fund. We serve 1.3+ Cr customers and associates with highest humility across 100+ cities.

Our success is attributable to 3 founding principles- Long Term Wealth Creation, Outside-in (Customer) View & Sustainable Relationships. Our investment philosophy embraces culture of risk management. It encourages our partners & investors to transition from transactional investing for quick gratification to investing for fulfilment of critical life goals.

Thus, our endeavour is to offer a basket of investment solutions which helps customers create a financially independent & happier tomorrow.

Our recent accolades:

• Brandon Hall Group HCM Excellence Awards for Learning & Development 2022 - Silver Award
• Morningstar Awards 2022: Best Fund House: Equity, Debt & Overall
• Outlook Money Awards 2021: GOLD in Equity AMC of the Year 2021
• World Leadership Congress & Awards 2022: Business Transformation Leadership Awards Digital Transformation Project (Mobile App)

Why Join Us?

At Axis, our constant endeavour is to provide a career path for job seekers which is laden with learning & winning. We foster a culture where success is celebrated.

What will you Do?

To help the organization in establishing, implementing, and overseeing various Risk

Management practices and policies. To monitor a firms trading activity using surveillance

applications to safeguard the firm against any reputational and/or financial risk.

Key Responsibilities:

• Assisting team members with daily reviewing and analyzing of surveillance alerts and/or exception reports. Properly documenting the review and disposition of the exceptions with an appropriate rationale as well as escalating matters with relevant stakeholders if there are any true exceptions.
• Review of various modes of recorded communication, i.e. chats, voice, CCTV etc. used by the investment team and identify any unusual activity and potential risk issues.
• Participating in periodic review of surveillance alerts to ensure optimal quality is being achieved.
• Assisting with the UAT of new system enhancements/Model reviews as appropriate.
• Assisting with the design and implementation of new surveillance alerts as well as refinement of existing ones.
• Gathering and analyzing trades data to assist in the firms response to inquiries received from Exchanges/SEBI or other regulatory bodies.
• Assisting management in their response to inquiries or requests from internal partners (e.g. Internal Audit, compliance etc.)
• Remain updated on developments and changes concerning relevant regulatory regulations.

What makes you a Great Fit?

• 2-3 years of relevant experience.
• MBA Finance/CA/FRM
• Relevant trade surveillance experience with a broker/financial institution in business compliance or with a securities regulator. Preference will be given to candidates with relevant experience in electronic communication Surveillance.
• Basic understanding and knowledge of trading mechanisms across different financial instruments/markets and applicable market regulations.
• Product knowledge across the various asset class types: Equities, Fixed Income, Derivatives.
• Prior Mutual Fund related experience/Knowledge of Bloomberg system would be an added advantage.
• Proficiency in the use of MS Excel, Macro Word, PowerPoint etc.
• Strong Analytical skills and attention to detail
• Ability to handle multiple activities and take on additional responsibilities
• Should be strong in verbal & written communication

More Info

Education