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Compliance & Surveillance - Business & Operations
1 week ago
- Client onboarding
- KYC
- Trade and DP related unauthorized Trades, circular trading, passwords
Compliance
- Prevention of Anti Money Laundering Act
Ø Closing of Trackwizz alerts and filing of STR as per regulatory guidelines in consultation with relevant stakeholders wherever required.
Ø Carry out analysis and/or research of past/present fraudulent practices and identify and plug and possible loop holes in system,
Ø Conceptualise, and devise a blueprint to address each specific risk areas so identified after effectively communicating with all the stakeholders and the Management.
Ø Coordinating and collaborating with relevant departments including IT to ensure not only creation but adoption and smooth running of the entire policy so created.
Ø To set up a MIS based surveillance system with inbuilt alerts and Exception reports with escalation matrix that allows timely action to minimize the risk, including working with outside agencies such as eg: Tanna s/w team.
Ø Schedule periodic checks and balances to ensure that systems are in place and all SOPs followed and report deviations if any.
Ø Monitor and Review the surveillance & alerts mechanism and present to the Management any recommendations, for improvements or tweaking of the existing system.
Ø On an ongoing basis watch for potential risk areas in the organization and take steps to address them immediately.
Experience in Exchange & Trade regulatory framework
Being aware of arbitration mechanism and procedure as well as awards at exchanges
Understanding of trade life cycle (intermediate/ expert knowledge)
Understanding of market abuse and fraud practices in trade products
Experience of working on Trade surveillance system
Experience of undertaking trade alerts review, investigations and disposition
Knowledge of Compliance laws, rules, regulations, risks and typologies
Must be a self-starter, flexible, innovative and adaptive
Strong working knowledge with MS Office
Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
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