Team Member
2 weeks ago
Role
Team Member - Surveillance
Qualification
Postgraduate in Finance or Bachelor's degree or diploma in Law, Legal Studies, or a related discipline
Location
Bangalore
Experience
3–5 years
Job Description:
- Good knowledge of depository services, and regulatory frameworks.
- Process and tracking regulatory orders in accordance with internal procedures and external regulations.
- Review, interpret, and analyze regulatory or Court orders, guidelines, and compliance requirements.
- Coordinate with legal, compliance, and operational teams to address regulatory and operational issues.
- Monitor and review surveillance alerts accordance to depository framework.
- Investigate alerts and escalate potential issues to all the stakeholders.
- Maintain accurate records of actions taken and reports generated.
- Collaborate with internal teams to resolve discrepancies or issues.
- Assist with regulatory reporting and documentation as needed.
- Escalate anomalies or suspicious patterns for further investigation.
- Ensure data confidentiality and compliance with internal and regulatory requirements.
- Participate in audits and provide documentation as required.
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