Risk & Internal Controls - Team Leader - Surveillance - Corporate

Kotak Securities (KSL)

2 - 6 years

9 - 12 Lacs

mumbai

Posted:3 days ago| Platform:

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Skills Required

trade finance foreign exchange forex operations team management import software testing investment banking banking operations analysis forex corporate actions fx operations trade team leading relationship management treasury lc export finance

Work Mode

Work from Office

Job Type

Full Time

Job Description

Generate surveillance alerts on daily basis based on parameters defined in surveillance process manual
Analysis of surveillance alerts to identify the transactions of suspicious nature
Analyse clients orders book, trade book, demat records to decide the transactions of abnormal nature and also to decide the action to be taken
Sending mails to clients asking for relevant information to analyse the surveillance alerts
Coordinating with operations and IT departments for collection of relevant data required for analysis of surveillance alerts
Analysing surveillance alerts received from stock exchanges
Replying to exchange letters and enquiries pertaining to surveillance
Timely filing of exchange reportings related to surveillance
Reviewing existing surveillance alerts parameters, surveillance policy and structure and recommending changes to the same for enhancing the quality of surveillance alerts being generated by the company
Monitoring regulatory changes related to surveillance
Analysing its impact
Making necessary changes in policies, systems and procedures to comply with and implement the regulatory changes
Managing the surveillance alerts daily data, proper data keeping of alerts and records for future reference and audit purpose
Handling audit queries

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