Surveillance

1 day ago

Mumbai Maharashtra, India National Securities Depository Full time

RoleAssistant Manager - Surveillance

QualificationCA/ICWA/CS/CFA/MBA or equivalent post graduate qualification from reputed/recognised institutes/ universities.
- LocationMumbai

Experience3+yrs of experience
- Monitor of shareholding limits for listed MIIs (Stock Exchanges & Depository).
- Monitoring of Debt Investment by Foreign Portfolio Investors.
- Analyzing investigating questioning and closing of transactions/ Surveillance/Exchange Alerts.
- Strategic, analytical and other inputs to fine tune existing parameters in accordance of current transaction / fraud trends.
- Inputs for implementation of processes for mitigating new market vulnerabilities.
- Analyzing Business requirement and providing inputs for automation of various surveillance related activities.
- Liaison with SEBI and Stock Exchanges for various periodic alerts/ reports related activities.
- Inputs for process development and seamless migration of various surveillance activities.
- Processing and tracking of Show Cause Notice (SCN)
- Handling the activities related to tagging of demat account of brokers.
- Handling the activities related to restriction on insider trading.
- Processing of Orders passed by SEBI & other Statutory Authorities.
- Processing of Queries for SEBI, Stock Exchanges & other Statutory Authorities.
- Handling activities related to AML, KYC and PAN Compliance of DPs.
- Handling activities related to suspension of demat account due to non-compliance of SEBI requirements.
- Monitoring of prescribed limits for Stock Exchanges and FPIs and processing of various types of queries received from SEBI, Stock Exchanges & other Statutory Authorities.
- MIS Preparation and Escalations on various surveillance related activities.
- Collecting and interpreting data
- Analysing results
- Reporting the results back to the superiors
- Identifying patterns and trends in data sets
- Working alongside teams within the department or the management team to establish needs
- Defining new data collection for preventive measures and analysis processes.
- Submitting the data to SEBI at regular intervals.
- Providing information to DPs at regular intervals.
- Analysis of transaction reported by DPs.

**Skills required for the above Role**:

- Experience in data models and reporting packages
- Ability to analyse large data sets
- Ability to write comprehensive reports
- Strong verbal and written communication skills
- An analytical mind and inclination for problem-solving
- Attention to detail.

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