Deputy Manager-Surveillance

• Client Screening & Monitoring
• Assist in executing the client EOD screening process according to regulatory and internal guidelines.
• Support the maker-checker process for client due diligence and periodic reviews.
• Alert Management
• Monitor and review alerts generated from CDSL and internal depository systems.
• Analyze the alerts to identify suspicious or unusual transactions.
• Coordinate with internal stakeholders (Operations, RMS, Compliance, etc.) for alert clarification and closure.
• Send mails to the clients for additional information or clarifications related to alerts.
• Reporting & Documentation
• Maintain and update the MIS for all alerts generated, closed, and pending actions.
• Prepare and circulate periodic reports to relevant teams and management.
• Assist in filing Suspicious Transaction Reports (STRs) to FIU-IND under the supervision of senior team members.
• Maintain proper records of alerts, exchange communications, and depository correspondences for audit and compliance purposes.

Education: Graduate/Postgraduate in Commerce, Finance, Economics, or related fields.

Experience:

• 03 years of experience in Surveillance within the Capital Markets industry.

Knowledge:

• Understanding of AML/CFT guidelines, SEBI and depository regulations.
• Basic knowledge of CDSL systems and trade surveillance processes.