Manager - Trade Surveillance

2 weeks ago

Mumbai, Maharashtra, India Nuvama Group Full time
Job Description

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

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