47 Insider Trading Jobs

Ensure compliance with the Companies Act, SEBI Regulations (LODR, Insider Trading, Takeover Code, etc), Listing Regulations, and other applicable corporate laws Manage filings and disclosures with Stock Exchanges (NSE/BSE), SEBI, ROC, and MCA Organize and coordinate Board Meetings, AGMs, EGMs, and Committee Meetings (Audit, Nomination & Remuneration, CSR, etc) Maintain statutory registers and records, including those required under Companies Act and SEBI laws Advise on good governance practices and compliance with corporate governance norms Facilitate evaluation of board performance and ensure compliance with codes of conduct and ethics policies Act as the point of contact for shareholders a...

Role & responsibilities 1. Secretarial & Statutory Compliance Ensure full compliance with the Companies Act, 2013 , SEBI Regulations, Income Tax Act, FEMA, etc. and Secretarial Standards. Organize and manage Board Meetings, Committee Meetings, and Shareholder Meetings (AGM/EGM). Draft agendas, notices, board notes, resolutions, and minutes. Maintain statutory books and registers Register of Members, Directors, Charges, Minutes of Meetings, etc., as required by law. Responsible for the accurate and timely filing of various statutory forms, Handle MCA/ROC filings , annual returns, and event-based filings. Coordinate with stock exchanges for listed-company compliances. Secretarial Audit: Conduc...

Role Overview: As a trade surveillance personnel at Compliance Conduct and Operational Risk division, you will be responsible for identifying potential instances of market abuse, specifically insider trading and market manipulation. Your role will involve using well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts to ensure compliance with information barrier and restricted list policies. The trade surveillance team plays a crucial role in looking into risks across markets using established surveillance programs to protect the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Key Respon...

Position Purpose The number of surveillance models that are being deployed for compliance is expanding at a very fast pace. This expansion is being driven by new regulations and by an increase in the recommendations that are the output of internal and external audits and regulatory visits. This expansion will also increase the alert population and surveillance coverage and will require additional staff to investigate each occurrence to determine whether there is sufficient reason to generate a suspicious activity report. The risk type currently covers both Trade Surveillance (e.g. insider trading, manipulation, Historical Behavioural Pattern, Watchlist etc) & Electronic Communication Surveil...

Dear Candidate, Greetings!! Kindly find the Job Description for the Online Surveillance position based in Hyderabad. Role and Responsibilities: Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions (Equity, F&O, Currency, SLBM, IRF, Commodity). Supervise routine activities as per defined SOP and TAT. Verification of surveillance alerts such as market manipulation, price / volume alerts, order spoofing, front running alerts, insider trading alerts, etc. Analyze various alerts/ exception reports on trading activities/ patterns to short-list cases which require detailed analysis/ investigation and initiate action, if warranted. Process surveillance a...

As an E-Communication surveillance personnel at Compliance Conduct and Operational Risk division, your role involves identifying potential instances of market abuse, such as insider trading and market manipulation. You will utilize well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts to ensure compliance with policies. The E-Communication surveillance team plays a crucial role in looking into risks across markets using established surveillance programs to safeguard the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Key Responsibilities: - Review applicable communications surveillanc...

As an E-Communication surveillance personnel at Compliance Conduct and Operational Risk division, your role involves identifying potential instances of market abuse, such as insider trading and market manipulation, using well-known surveillance systems. You will be conducting surveillance of activities in Firm and Employee accounts to ensure compliance with policies. The E-Communication surveillance team plays a crucial role in looking into risks across markets using the established surveillance program to safeguard the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Key Responsibilities: - Review applicable communications survei...

As a trade surveillance personnel at Compliance Conduct and Operational Risk division, your role involves identifying potential instances of market abuse, such as insider trading and market manipulation. You will utilize well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team is crucial in assessing risks across markets using established surveillance programs to safeguard the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Key Responsibilities: - Review trade surveillance alerts and a...

You will be responsible for the following tasks in this position: - General electronic communications and trading surveillance reviews, including focus on potential insider trading and market manipulation. - Monitor daily surveillance reports using exception reports and other tools. - Review surveillance alerts, conduct analysis and escalate findings as needed. - Assist the investigation and handling of the inadvertent receipt of material non-public information (MNPI). - Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters. - Assist with regulatory examinations, inquiries, investigations and projects, as neces...

You will be responsible for general electronic communications and trading surveillance reviews, focusing on potential insider trading and market manipulation. This includes monitoring daily surveillance reports using exception reports and other tools, reviewing surveillance alerts, conducting analysis, and escalating findings as needed. Additionally, you will assist in the investigation and handling of the inadvertent receipt of material non-public information (MNPI). You will be required to interact with the business and compliance teams daily, providing advice and guidance on compliance matters. You will also assist with regulatory examinations, inquiries, investigations, and projects as n...

Dear Candidate, Below is the Job description for your reference . Role and Responsibilities: Perform daily BOD-EOD activities. Investigate abnormal activities, including manipulation, artificial trades, insider information, and social media rumors/news. Draft detailed investigation reports, analyzing trading activities and patterns in the equity derivatives, currency derivatives, and commodity derivatives segments. Comprehensive Review of KYC Processes- KYC includes Customer Identification Program (CIP), beneficial Ownership, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD). Handling alerts such as price manipulation, anti-money laundering, suspicious transactions/ trades on ex...

Role & responsibilities Monitor and review employee electronic communications (email, Teams, WhatsApp, SMS, Bloomberg, etc.) for potential policy breaches, regulatory violations or misconduct. Identify and escalate red flags related to insider trading, market manipulation, information leakage, fraud or inappropriate business conduct. Classify, document and track findings in the firms surveillance systems as per established procedures. Assist in internal investigations and prepare summaries or case-reports for senior compliance officers. Help optimize surveillance tools, lexicons and processes to improve detection accuracy and reduce false positives. Participate in user acceptance testing (UA...

As part of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in ensuring the firm's strength and resilience. Your expertise helps the company navigate emerging risks responsibly and tackle real-world challenges that affect our organization, customers, and communities. Our Risk Management and Compliance culture encourages innovative thinking, questioning the status quo, and striving for excellence. **Key Responsibilities:** - Review communications surveillance alerts and communications for potential compliance issues - Collaborate with business and compliance stakeholders to identify market misconduct and escalate compliance concerns - Conduct alert-based reviews to de...

Experience in thermal industry (boilers, turbines, etc.) Good knowledge of turbines and accessories Minimum 1 year in Inside Sales Skilled in estimation, offer preparation, and documentation Proficient in MS Office (Word, Excel, PowerPoint) Health insurance Employee state insurance Provident fund

Role & Responsibilities: Regulatory Compliance of Securities Act, Mutual Fund Regulations and other regulatory bodies Reporting to the Boards with quarterly and half yearly reports in accordance with SEBI (Mutual Funds) Regulations, 1996 and such other reports as are prescribed by the Regulator from time to time Monitoring SEBI restrictions on the Schemes of the Mutual Fund Monitoring of Schemes on the Limitations out of prospectuses Monitoring Contractual limitations on Funds managed Preparing and Vetting of all Offer Documents to review that they are in compliance with the SEBI Regulations including periodic updating of the Offer documents. Pre-clearance of all marketing materials and fili...

Job Title: AVP Compliance Automation & Surveillance (Market Abuse) Location: Hyderabad / Mumbai Experience: 18 - 25 years Employment Type: Full-time Industry: Banking / Financial Services / Investment Management About the Role: We are seeking an accomplished professional to lead our Compliance Automation and Market Abuse Surveillance function. The ideal candidate will drive innovation in compliance technology, oversee the design and implementation of automated surveillance systems, and ensure effective detection and mitigation of market abuse risks across trading and investment activities. This role demands a strategic leader with deep domain expertise in market abuse monitoring, trade surve...

Dear Candidate, Greetings!! Kindly find the Job Description for the Online Surveillance. Role and Responsibilities: Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions (Equity, F&O, Currency, SLBM, IRF, Commodity). Supervise routine activities as per defined SOP and TAT. Verification of surveillance alerts such as market manipulation, price / volume alerts, order spoofing, front running alerts, insider trading alerts, etc . Analyse various alerts/ exception reports on trading activities/ patterns to short-list cases which require detailed analysis/ investigation and initiate action, if warranted. Process surveillance alerts, conduct preliminary ...

Dear Candidate, Greetings!! Kindly find the Job Description for the Online Surveillance. Role and Responsibilities: Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions (Equity, F&O, Currency, SLBM, IRF, Commodity). Supervise routine activities as per defined SOP and TAT. Verification of surveillance alerts such as market manipulation, price / volume alerts, order spoofing, front running alerts, insider trading alerts, etc . Analyse various alerts/ exception reports on trading activities/ patterns to short-list cases which require detailed analysis/ investigation and initiate action, if warranted. Process surveillance alerts, conduct preliminary ...

In this role at Compliance Conduct and Operational Risk division, as a trade surveillance personnel, your primary responsibility will be to identify potential instances of market abuse, such as insider trading and market manipulation. You will utilize well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team plays a crucial role in monitoring risks across markets using the established surveillance program to protect the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Key Responsibilitie...

As a Manager/Senior Manager - Compliance in Mumbai, your role will involve: - Maintaining up-to-date knowledge of SEBI circulars and notifications relevant to depository operations. - Reviewing and drafting all Regulatory policies. - Drafting and reviewing all agenda and minutes of the Regulatory Committee meetings like PID, ROC, Board etc. - Monitoring changes in regulatory frameworks issued by SEBI, RBI, and other applicable bodies and initiating implementation. - Reviewing and ensuring maintaining accurate and up-to-date records of all regulatory correspondences and filings. - Tracking and closing audit findings related to compliance matters in a timely manner. - Preparing compliance repo...

JD Key Roles & Responsibilities Assisting for compliance with Companies Act, 2013, SEBI (LODR) Regulations / Insider Trading / Takeover Code / ICDR, filing of Disclosures, documents, returns and forms with Stock Exchanges, ROC, RBI, etc. and Debenture Trustee compliances Assisting for Board and Committee Meetings related activities: Notice, Agenda and Minutes of meetings Agenda items / notes and resolutions Summary of minutes Uploading documents on Meeting management application Actions / Follow-ups Updation of Actionable Items Reports Follow-ups with stakeholders for implementation / reporting of actionable items Assisting for Shareholder Meetings / Postal Ballot process Investor Servicing ...

As a trade surveillance personnel at Compliance Conduct and Operational Risk division, your role involves identifying potential instances of market abuse, such as insider trading and market manipulation. You will be using well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team plays a crucial role in safeguarding the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Key Responsibilities: - Review trade surveillance alerts and analyze trading and market activity for asset classes includi...

As a trade surveillance personnel in the Compliance Conduct and Operational Risk division, your role involves identifying potential instances of market abuse, particularly insider trading and market manipulation. You will utilize well-known surveillance systems to conduct surveillance of activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team plays a crucial role in mitigating risks across markets using established surveillance programs to safeguard the firm against reputational and financial risks, all while adhering to internal policies and regulatory requirements. Key Responsibilities: - Review trade ...

As a Compliance Analyst at Millennium Management, you will be responsible for various tasks to ensure the firm's adherence to regulatory requirements and industry standards. Your role will involve: - Conducting general electronic communications and trading surveillance reviews, focusing on identifying potential insider trading and market manipulation. - Monitoring daily surveillance reports using exception reports and other tools to detect any irregularities. - Reviewing surveillance alerts, performing analysis, and escalating findings when necessary. - Assisting in investigating and managing inadvertent receipt of material non-public information (MNPI). - Providing advice and guidance to fi...

Role Overview: You will be responsible for conducting general electronic communications and trading surveillance reviews, with a specific focus on identifying potential insider trading and market manipulation. Your role will involve investigating and resolving monitoring alerts promptly, ensuring thorough investigation of significant issues, and escalating them when necessary. Additionally, you will play a key role in driving continuous improvement of the surveillance framework, including refinement and calibration. You will contribute to the implementation of strategic projects within the department, participate in team discussions, investigations, and knowledge sharing, and assist in produ...