Opportunity For Trade Surveillance_Compliance with SBI Securities

Job Description

Department: Compliance

Designation: Assistant Manager

Experience : 6+ Years

Please note that only candidates who are currently working in the broking industry are eligible to apply.

Key Deliverables

Monitoring and closure of trade and DP surveillance alerts in compliance with SEBI, Stock Exchange (NSE/BSE), and Depository (NSDL/CDSL) regulations.
Implementation of regulatory requirement w.r.t the internal surveillance alert mechanism.
Timely identification, investigation, and escalation of suspicious trading patterns and demat account activities, including off-market transfers and client modifications.
Accurate and timely regulatory reporting and responses to exchanges, depositories, and regulators within prescribed timelines.
Preparation of periodic MIS on surveillance alerts and regulatory submissions.
Coordination with Branch, RMS, DP operations and IT teams to ensure regulatory adherence.
Periodic review of Surveillance policies, Internal SOPs and Alert-handling frameworks.

Competencies Required

Strong understanding of capital markets, trading mechanisms, and depository operations.
Working knowledge of SEBI regulations, Exchange surveillance frameworks, and NSDL/CDSL operations.
Ability to interpret trading data, demat movements, and client behavior patterns.
Proficiency in Excel, MIS preparation, and surveillance/back-office systems.

Essential Education & Experience Qualifications

Education: Graduate or Postgraduate in Commerce/ Finance.
Certifications: NISM Series VII Securities Operations and Risk Management and or NISM e-learning Certification on Transaction Monitoring and Suspicious Transaction Reporting.
Experience: 6+ years of relevant experience in surveillance within a Stock Broking and Depository Participant.
Tools & Systems (Preferred): Familiarity with TrackWizz surveillance platform or similar surveillance tools preferred.

Interested candidates can share cvs on ruchi.kedia@sbicapsec.com