Trade Surveillance-PMLA

Job Description

Role & responsibilities

Monitor daily trading activities to detect unusual or suspicious trading patterns.
Review and investigate exchange-generated and internal surveillance alerts.
Identify potential instances of:
Front running
Insider trading
Circular trading
Pump and dump activities
Market manipulation
Client-dealer collusion
Conduct trade investigations and document findings with appropriate evidence.
Coordinate with Compliance, Risk, Operations, and Business teams for closure of alerts and escalations.
Prepare and submit periodic surveillance MIS and regulatory reports.
Monitor employee trading activities and adherence to internal dealing policies.
Ensure compliance with regulatory requirements prescribed by market regulators and stock exchanges.
Assist during regulatory inspections, internal audits, and exchange queries.
Recommend improvements to surveillance frameworks and processes.
Stay updated with changes in market regulations and surveillance guidelines.

Preferred candidate profile

2-3 years of experience in trade surveillance, compliance, or risk within a broking or financial services organization.
Experience handling exchange and depository surveillance alerts.
Exposure to regulatory reporting and suspicious transaction investigations.