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Rekrut India
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Compliance Surveillance

Compliance Surveillance

Rekrut India

1 - 6 years

1 - 6 Lacs

thane navi mumbai mumbai (all areas)

Posted:7 hours ago| Platform:

Apply

Skills Required

compliance officer trade surveillance compliance surveillance compliance monitoring trading compliance suspicious transaction monitoring fraud detection

Work Mode

Work from Office

Job Type

Full Time

Job Description

Job Title:

Location: Kurla

Department:

About the Role

Compliance Surveillance professional

Key Responsibilities:

Monitor client trading activities across order book, trade data, and other market data sources.
Identify suspicious transactions, unusual patterns, market abuse cases, and escalate issues as required.
Analyze large sets of trading and surveillance data to detect anomalies, trends, and compliance gaps.
Ensure strict adherence to
SEBI regulations, Exchange guidelines (BSE/NSE/MCX), and CDSL requirements
.
Prepare, maintain, and submit
periodic surveillance reports
to Exchanges and Regulators within defined timelines.
Liaise with internal teams to strengthen surveillance processes and implement compliance controls.
Stay updated with latest regulatory circulars, market practices, and compliance frameworks.
Assist in audits, inspections, and internal policy reviews.

Experience & Qualification:

1–2 years of experience
in Compliance, Surveillance, Risk Monitoring, or related functions in
Stock Broking / Capital Markets / NBFCs / Exchanges
.
Education:
B.Com / M.Com (mandatory). Candidates with certifications like
NISM Series
(Compliance, Surveillance, or Derivatives) will be preferred.

Key Skills & Competencies:

Strong
analytical and problem-solving skills
with attention to detail.
Good understanding of trading systems, compliance regulations, and market surveillance tools.
Proficiency in
MS Excel, MIS, and data analysis tools
.
Excellent communication, reporting, and documentation skills.
Ability to work independently as well as collaborate within a team environment.

How to Apply:

mail- dharti.gothi@upgrad.com

mobile- 8356993985

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