Deputy Manager / AVP / VP - Surveillance & investigation

Position Location:

• VP/AVP - Mumbai
• Deputy Manager - Jaipur

Job Purpose:

To provide strategic leadership and oversight of the organization's surveillance function, ensuring effective detection, investigation, and prevention of market abuse or misconduct. To safeguard regulatory compliance and uphold market integrity through robust monitoring systems, policies, and cross-functional collaboration.

Responsibilities:

• Supervise investigation of alerts, suspicious trades, and breaches; ensure timely escalation to compliance, legal, or regulators, identify emerging risks in trading patterns, market behavior, or operational processes; recommend preventive measures.
• Developing, Testing and deployment of Surveillance systems, creating surveillance framework, SOPs. Drive the selection, implementation, and enhancement of surveillance platforms, analytics tools, and AI-based monitoring systems.
• Lead, mentor, and develop the surveillance team; ensure continuous skill enhancement in regulatory and analytical domains
• Benchmark against global best practices; introduce process improvements and automation to enhance efficiency.
• Present periodic surveillance reports, risk dashboards, and key metrics to the Board Committees, and seniors.
• Establish and periodically update surveillance policies, escalation protocols, and investigation frameworks.
• Ensure adherence to SEBI, stock exchange, and other regulatory guidelines; liasioning with regulators, interacting with market participants, other exchanges act as the primary point of contact for regulatory queries and inspections.
• Collaborate with Compliance, Risk, Technology, and Business teams to ensure integrated risk management and swift issue resolution.
• Stay ahead of regulatory expectations and market behaviors, acting pre-emptively to protect market integrity
• Knowledge of Excel, tableau, power BI, Python

Educational Qualification

• MBA (in finance) , CA, CS

Experience

• Minimum relevant experience of 5 - 10+ years.

Skills Required

• Knowledge of equity and equity derivatives market
• Knowledge of tools and programming used for analysis and report creation.

Functional Competencies required

• Knowledge and understanding of Exchange ecosystem and operations
• Integrating market knowledge with technical expertise for report automation
• Analytical thinker with detailed research proficiencies
• Pro-active and Result oriented field