Manager - Trade Surveillance

3 weeks ago

Mumbai, Maharashtra, India Nuvama Group Full time
The role is responsible for ensuring compliance with SEBI (Prevention of Insider Trading) Regulations and overseeing related policies and processes for a listed company and SEBI registered intermediary. The individual will draft, update, and disseminate policies and FAQs, manage the approval system for employee trading, and address employee queries regarding trading activities. They will also analyze employee trades to detect violations and take corrective action. Additionally, the role involves managing conflict of interest policies and systems, ensuring proper documentation, and presenting violations or policy changes to senior management. Effective coordination with the IT team and maintaining accurate records are key aspects of the role.

Experience: 7 + years

Roles & Responsibilities:

- Thorough knowledge of SEBI (Prevention of Insider Trading) Regulations and

Circulars / notifications issued thereunder from time to time

• Drafting the Policies and FAQs pertaining to PIT both for a listed Company and a

SEBI registered intermediary

• Defining and disseminating the various processes as may be required to give

effect to the provisions of above Policies

• Making changes / modifications in the above policies from time to time as

required and disseminating the same to all employees

• Owning and maintaining / operating the System which is used to provide

approvals / rejections to employees for trading in securities market. And

undertaking the changes / modifications in the system as required in coordination

with IT team

• Obtaining the Annual Declaration from all the employees and maintaining the

records of the same

• Attending to various queries as may be raised by the employees pertaining to

Employee trading

• Analyzing the trades of the employees to identity the trades which are in violation

of Policies and taking the corrective measures

• Placing the changes in policies and instances of violations before the Committee

/ Senior Management as the case may be

• Requires a broad understanding of what constitutes conflict of interest

• Drafting the Policy and FAQs for (a) Employees' personal conflict of interest and

(b) Conflict of interest between various businesses of the Company

• Defining and disseminating the various processes as may be required to give

effect to the provisions of above Policies

• Owning and maintaining / operating the System which is used to provide

approvals / rejections in the conflict scenarios. And undertaking the changes /

modifications in the system as required in coordination with IT team

• Educating the various businesses on Conflict of interest and Company policy

around it

• Attending to various queries as may be raised by the employees pertaining to

Conflict of interest

• Placing the changes in policies and MIS on conflict scenarios before the

Committee / Senior Management as the case may be

  • Manager - Trade Surveillance

    3 weeks ago

    Mumbai, Maharashtra, India Nuvama Group Full time

    Job DescriptionThe role is responsible for ensuring compliance with SEBI (Prevention of Insider Trading) Regulations and overseeing related policies and processes for a listed company and SEBI registered intermediary. The individual will draft, update, and disseminate policies and FAQs, manage the approval system for employee trading, and address employee...

  • Manager - Trade Surveillance

    2 weeks ago

    Mumbai, Maharashtra, India Nuvama Group Full time

    The role is responsible for ensuring compliance with SEBI (Prevention of Insider Trading) Regulations and overseeing related policies and processes for a listed company and SEBI registered intermediary. The individual will draft, update, and disseminate policies and FAQs, manage the approval system for employee trading, and address employee queries regarding...

  • Compl Surveillance Analyst 2- Officer

    2 days ago

    Mumbai, Maharashtra, India Citi Full time US$ 90,000 - US$ 1,20,000 per year

    Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is...

  • Equity Trading Compliance Specialist

    1 hour ago

    Mumbai, Maharashtra, India beBeeCompliance Full time

    Job SummaryThe Compliance Manager will oversee the institutional equities department to ensure all equity trading activities comply with regulatory requirements.Key Responsibilities:Regulatory Compliance:Ensure adherence to SEBI regulations, stock exchange requirements, and internal compliance frameworks.Monitor trading activities, manage regulatory issues,...

  • Institutional Equities – Compliance Manager

    5 days ago

    Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full time

    Job SummaryThe incumbent for Institutional Equities – Compliance will be responsible for ensuring that all equity trading activities conducted on behalf of institutional clients comply with SEBI regulations, stock exchange requirements, and internal compliance frameworks . The role includes advising front-office personnel, monitoring trading activities,...

  • Electronic Trading Risk Professional

    55 minutes ago

    Mumbai, Maharashtra, India beBeeRisk Full time ₹ 80,00,000 - ₹ 1,50,00,000

    Job SummaryWe are seeking a highly skilled Electronic Trading Risk Manager to join our team. The ideal candidate will have strong analytical and reasoning skills, ability to work independently as well as a Team Player, excellent organizational skills, and high degree of attention to detail.The successful candidate will be responsible for managing the risks...

  • Institutional Equities – Compliance Manager

    5 days ago

    Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full time

    Job SummaryThe incumbent for Institutional Equities – Compliance will be responsible for ensuring that all equity trading activities conducted on behalf of institutional clients comply with SEBI regulations, stock exchange requirements, and internal compliance frameworks . The role includes advising front-office personnel, monitoring trading activities,...

  • Institutional Equities – Compliance Manager

    6 hours ago

    Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full time

    Job SummaryThe incumbent for Institutional Equities – Compliance will be responsible for ensuring that all equity trading activities conducted on behalf of institutional clients comply with SEBI regulations, stock exchange requirements, and internal compliance frameworks. The role includes advising front-office personnel, monitoring trading activities,...

  • Institutional Equities – Compliance Manager

    1 day ago

    Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full time

    Job SummaryThe incumbent for Institutional Equities – Compliance will be responsible for ensuring that all equity trading activities conducted on behalf of institutional clients comply with SEBI regulations, stock exchange requirements, and internal compliance frameworks. The role includes advising front-office personnel, monitoring trading activities,...

  • Institutional Equities – Compliance Manager

    10 hours ago

    Mumbai, Maharashtra, India Anand Rathi Share and Stock Brokers Ltd Full time

    Job Summary The incumbent for Institutional Equities – Compliance will be responsible for ensuring that all equity trading activities conducted on behalf of institutional clients comply with SEBI regulations, stock exchange requirements, and internal compliance frameworks. The role includes advising front-office personnel, monitoring trading activities,...