Assistant Manager – Surveillance

Job Description:

Responsibilities

• Monitoring Surveillance activities – trade as well as Name Screening.
• Assist in Compliance regulatory change implementation through a sophisticated Compliance Tool.
• Conduct regular compliance audits and assessments to identify potential risks and areas for improvement within surveillance function.
• Prepare and submit regulatory filings, reports, and documentation as required by SEBI.
• Collaborate with internal teams to gather necessary information for compliance reviews and audits.
• Maintain accurate records of compliance activities and findings.
• Support the senior compliance team in conducting investigations into compliance breaches and implementing corrective actions.

Qualification & Experience  

• Bachelor’s degree in Commerce, Finance, Business Administration, Law, or a related field with minimum 4-5 years of experience
• Familiarity with SEBI regulations and compliance requirements.
• Strong analytical skills and attention to detail.
• Excellent written and verbal communication skills.
• Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).
• Previous experience in compliance and /or Surveillance Function.
• Knowledge of financial markets and investment products.