8 Compliance Surveillance Jobs

About Zerodha Fund House At Zerodha fund house, we are enabling the next generation of Indian investors. We feel mutual funds as a product needs to be reimagined to build simple & relevant investment solutions for the next 10 crore individuals to participate in and grow the capital markets in India. Built by the team behind Zerodha & smallcase, Zerodha fund house brings the principles of simplicity, cost-effectiveness, and transparency to the mutual funds. Responsibilities Include General Compliance Responsibilities Assist in the finalization of reports to be filed with SEBI, AMFI, RBI and the Board of AMC and Trustees. Assist in update of regulatory documents such as SID, KIM, and SAI. Draf...

Job Description Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm...

Job Title: Compliance Surveillance (MACM) Location: Kurla Department: Compliance Surveillance About the Role We are seeking a highly motivated Compliance Surveillance professional to join our team. The role involves end-to-end monitoring of trading activities, identifying suspicious transactions, ensuring regulatory compliance, and supporting risk control frameworks. This is an excellent opportunity for candidates with 1–2 years of compliance/surveillance experience in broking or capital markets who are looking to grow their career with a reputed financial services organization. Key Responsibilities: Monitor client trading activities across order book, trade data, and other market data sourc...

Job Description: FAB, the UAE's largest bank and one of the world's most secure financial institutions, is dedicated to creating value for its employees, customers, shareholders, and communities. Through innovation, agility, and differentiation, FAB is committed to fostering growth. We are looking for top talent and your success is our success. Accelerate your growth as you help us reach our goals and advance your career. Be ready to make your mark at a top company in an exciting and dynamic industry. JOB PURPOSE: First Abu Dhabi Bank PJSC is the largest bank in the United Arab Emirates and one of the largest global financial institutions. Through its strategic offerings, it looks to meet th...

At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more. If you're passionate about developing your career, while helping others along the way, come join the Broadridge team. Functional Experience : Mandatory - Reviewing FINRA Consolidated Audit Trail (CAT) submissions for various rules and advise clients for repair and resubmission. Experience in capital markets operations or compliance surveillance or control with derivatives, foreign exchange and securities Key responsibilities : Responsible for the day-to-day maintenance of the application systems in operation, including tasks related to identifying and troubleshooting application issues and is...

Job Description As a core member of the Compliance Surveillance function within Group Compliance at FAB, you will play a vital role in supporting the Head of Surveillance. Your primary responsibility will be to ensure the execution of day-to-day surveillance activities in accordance with agreed procedures. Additionally, you will contribute to enhancing surveillance controls and processes, upholding fair and orderly financial markets, fulfilling regulatory requirements, and promoting a culture of compliance within the organization. You will be expected to bring entrepreneurial flair to the role, elevating surveillance practices to a global best practice level as part of FAB's strategic goals....

At Broadridge, we have established a culture focused on empowering individuals to achieve more. If you are enthusiastic about advancing your career while supporting others in their journey, we invite you to join our team. In this role, you will be responsible for reviewing FINRA Consolidated Audit Trail (CAT) submissions to ensure compliance with various rules and providing guidance to clients for remediation and resubmission. Additionally, you should have experience in capital markets operations, compliance surveillance, or control involving derivatives, foreign exchange, and securities. Your key responsibilities will include the daily upkeep of application systems, such as identifying and ...

Sumitomo Mitsui Banking Corporation Conduct Surveillance: • Carry out surveillance and monitor employee communications across designated channels using surveillance tools and technologies. • Analyze communication content for potential violations of: • Insider trading regulations • Market manipulation • Anti-money laundering (AML) regulations • Anti-bribery and corruption (ABC) policies • Insider trading policies • Conflicts of interest • Other relevant regulatory and internal policies Alert Investigation: • Investigate alerts generated by the surveillance system and other sources. • Conduct in-depth analysis of suspicious activity, including reviewing relevant documentation, interviewing sta...