Senior Surveillance and AML Operations Specialist

1 week ago

Mumbai, Maharashtra, India Upstox Full time

Job Description:

The Surveillance and AML team at Upstox is responsible for designing, implementing, and overseeing a suite of surveillance systems to detect behaviors that may violate regulatory rules or internal policies and procedures. The team works collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of potentially anomalous behavior. The candidate will analyze trade surveillance alerts on a post-trade basis and escalate day-to-day exception reports.

Key Responsibilities:

  • Experience in Exchange & Trade regulatory framework
  • Understanding of trade products and trade life cycle
  • 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 an added preference

Requirements:

  • 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

Skills:

  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • A general understanding of securities trading and corresponding regulations
  • 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

Language:

English

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