Associate Manager

2 weeks ago

Mumbai, Maharashtra, India Upstox Full time

Location:

Mumbai

Job Description Summary: Surveillance and AML team is responsible for the design, implementation, and oversight for a suite of surveillance designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter. Consideration for the firm's reputation and safeguarding, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency. The candidate will be responsible for analysis of trade surveillance alerts on a post-trade basis and escalation of day-to-day exception reports.

Meet your team: You will work closely with the Legal and Compliance team as well as the internal department

Your way to impact: Be self-driven / quick starterHave an ownership mindsetAggressively drive and deliver results

Technical Requirements: - Experience in Exchange & Trade regulatory framework- Understanding of trade products (intermediate/ expert knowledge)Understanding of trade life cycle (intermediate/ expert knowledge)- Understanding of market abuse and fraud practices in trade products- Experience of working on SMARTS or similar Trade surveillance system is an advantage.- Experience of undertaking trade alerts review, investigations and disposition- Experience in AML related operations including KYC / due diligence / screening / transaction monitoring is added preference

Other skills: -Should have analytical skill to identify exception and report to management on timely basis.- Should be good in communication and presentation.- Strong working knowledge with MS Excel, PPT, MS Word and Macros / Visual Basic- Be self-directed, with the ability to proactively identify and analyze problems- Have good organization skills with the ability to work towards and meet deadlines- The candidate must be detail-oriented, organized and assertive - Exchanges / Institutional experience desired

Knowledge Required: - Knowledge of Compliance laws, rules, regulations, risks and typologies- A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects- Excellent research and analytical skills in addition to a technical aptitude- Excellent written and verbal communication skills- Must be a self-starter, flexible, innovative and adaptive- Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization- Proficient in MS Office applications (Excel, Word, PowerPoint)The candidate should be adaptable to change and willing to work in a fast-paced environment with a positive attitude- Advanced analytical skills- Demonstrated knowledge in area of focus

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