Surveillance Manager

About the Company

Investment Banking, Institutional Equities, Wealth Management, Retail Broking, and Asset Management

1. Trade Surveillance & Monitoring

• Monitor daily client trading activity and generate alerts for abnormal patterns such as spoofing, layering, circular trading, synchronized trades, pump & dump, trade reversals and excessive order cancellations

• Ensure timely review, investigation and closure of all surveillance alerts within defined TAT

2. Client Risk Assessment

• Identify and monitor high-risk clients, dormant-to-active accounts and unusual trading behaviour

• Conduct periodic risk profiling of retail clients and maintain updated risk categorisation records

3. Regulatory & Exchange Compliance

• Handle and respond to regulatory and exchange queries from NSE, BSE and SEBI within prescribed timelines

• Prepare and submit periodic regulatory reports and maintain complete documentation for audit and inspection

4. AML & PMLA Compliance Support

• Support transaction monitoring for AML in coordination with compliance teams

• Assist in identification of suspicious transactions and support STR/SAR filings as per PMLA guidelines

5. Reporting & Documentation

• Prepare detailed investigation notes, MIS reports and management dashboards

• Maintain proper case documentation to ensure audit readiness and regulatory traceability

6. Process Improvement & Controls

• Participate in risk assessments and identify control gaps in surveillance and compliance processes

• Recommend and support implementation of process improvements and automation initiatives

7. SOP & Policy Management

• Assist in drafting, reviewing and updating SOPs, surveillance manuals and internal policies

• Ensure effective implementation and team awareness of updated policies and regulatory changes