Surveillance Lead

2 days ago

Chennai Delhi Mumbai NCR, India Sketchhr Manpower And Hr Consultancy Services Full time ₹ 12,00,000 - ₹ 36,00,000 per year

Hi, Greetings from SketchHR Manpower Solutions

We are excited to share some excellent career opportunities with one of our esteemed clients, a leading stock broking firm, currently looking to strengthen their Legal & Compliance team. Please find the details below:

Legal & Compliance Roles - Capital Markets

Location: Santacruz, Mumbai (multiple vacancies) | Chennai (2 vacancy)

Open Roles:

  • Senior Surveillance Lead (6+ years)

  • Compliance Manager (2+ years)

  • Surveillance Officer (3+ years)

About the Company

Join a reputed trading and investment firm with a strong foothold in capital markets. We are driven by innovation, growth, and client trustwhile prioritizing the highest ethical standards and regulatory compliance. If you are passionate about compliance, surveillance, and risk management in the financial markets, this is your opportunity to make a lasting impact.

Role Overview

We are hiring dynamic Compliance and Surveillance professionals to strengthen our Legal & Compliance team. Depending on experience and expertise, roles range from managing compliance frameworks to driving surveillance operations, ensuring the organizations integrity, adherence to SEBI/NSE/BSE/RBI guidelines, and a culture of transparency.

Key Responsibilities

  • Monitor and ensure compliance with SEBI, NSE, BSE, RBI, and related regulatory frameworks.
  • Oversee surveillance of trades, employee conduct, and workplace communications to flag risks like insider trading, market abuse, or non-compliance.
  • Conduct audits, prepare regulatory reports, and liaise with regulatory authorities.
  • Investigate escalations, lead awareness training sessions, and drive continuous compliance improvements.
  • Draft policies, compliance manuals, and oversee filings, inspections, and audits.
  • Mentor and guide junior compliance/surveillance professionals (for senior positions).

Skills & Competencies

  • Strong knowledge of SEBI and capital market regulations.
  • Hands-on experience with surveillance tools such as Trackwizz, Actimize, NICE, Bloomberg Surveillance.
  • Exceptional analytical, communication, and report-writing skills.
  • High ethical standards with attention to detail and decision-making ability.
  • Leadership and stakeholder management skills (for senior roles).

Qualifications & Experience

  • Compliance Manager: LLB / CS / MBA (Finance), 2+ years in compliance with a broking house/financial market intermediary.
  • Senior Surveillance Executive: Graduate/Postgraduate in Law/Finance/Business, 6+ years in surveillance/compliance, strong leadership with regulatory exposure.
  • Surveillance Officer: Graduate in Law/Finance/Business, 3+ years in trade/communication surveillance, broking/compliance environment preferred.

Certifications (Preferred): AML, SEBI/NISM Compliance Officer, Certified Fraud Examiner (CFE).

Why Join Us?

  • Be at the forefront of compliance in capital markets.
  • Work in a growth-focused, collaborative, and ethical environment.
  • Take ownership of shaping the compliance and surveillance culture.

Interested Candidates can apply via Naukri or share profiles at / Whatsapp:

Regards

Team SketchHR Manpower Solutions

  • Senior Principal Consultant, Business Analyst – Surveillance

    1 week ago

    Chennai, India Genpact Full time

    Genpact (NYSE: G) is a global professional services and solutions firm delivering outcomes that shape the future. Our 125,000+ people across 30+ countries are driven by our innate curiosity, entrepreneurial agility, and desire to create lasting value for clients. Powered by our purpose – the relentless pursuit of a world that works better for people – we...

  • Senior Principal Consultant, Business Analyst – Surveillance

    1 week ago

    Chennai, India Genpact Full time

    Genpact (NYSE: G) is a global professional services and solutions firm delivering outcomes that shape the future. Our 125,000+ people across 30+ countries are driven by our innate curiosity, entrepreneurial agility, and desire to create lasting value for clients. Powered by our purpose – the relentless pursuit of a world that works better for people – we...

  • Assistant Manager- Surveillance

    3 weeks ago

    Mumbai, India HSBC Full time

    Job description Some careers open more doors than others. If you're looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Risk and...

  • Assistant Manager- Surveillance

    2 weeks ago

    Mumbai, Maharashtra, India HSBC Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Job descriptionSome careers open more doors than others.If you're looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.Risk and...

  • AVP - Compliance Automation & Surveillance

    1 week ago

    Mumbai, India Franklin Templeton Full time

    At Franklin Templeton, we’re driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make progress toward their goals. Our talented teams working around the globe bring...

  • Chief Surveillance Officer II Malad(West)

    2 weeks ago

    Mumbai, Maharashtra, India Motilal Oswal Financial Services (MOFSL) Full time ₹ 9,00,000 - ₹ 12,00,000 per year

    Surveillance & MonitoringOversee real-time and post-trade surveillance of trading activities across equity, derivatives, commodities, and other instruments.Detect and act upon suspicious patterns, insider trading, front-running, circular trading, and market manipulation.Conduct in-depth investigations into unusual trades or alerts.Escalate material findings...

  • Deputy Manager

    3 weeks ago

    Mumbai, India NCDEX Full time

    Position Location: - VP/AVP - Mumbai - Deputy Manager - Jaipur Job Purpose: To provide strategic leadership and oversight of the organization's surveillance function, ensuring effective detection, investigation, and prevention of market abuse or misconduct. To safeguard regulatory compliance and uphold market integrity through robust monitoring systems,...

  • Deputy Manager

    3 weeks ago

    Mumbai, India NCDEX Full time

    Position Location:- VP/AVP - Mumbai- Deputy Manager - JaipurJob Purpose:To provide strategic leadership and oversight of the organization's surveillance function, ensuring effective detection, investigation, and prevention of market abuse or misconduct. To safeguard regulatory compliance and uphold market integrity through robust monitoring systems,...

  • Senior Analyst

    4 days ago

    New Delhi, India MUFG Full time

    About Us: MUFG Bank, Ltd. is Japan’s premier bank, with a global network spanning in more than 40 markets. Outside of Japan, the bank offers an extensive scope of commercial and investment banking products and services to businesses, governments, and individuals worldwide. MUFG Bank’s parent, Mitsubishi UFJ Financial Group, Inc. (MUFG) is one of the...

  • Deputy Manager

    3 weeks ago

    Mumbai, India NCDEX Full time

    Position Location: VP/AVP - Mumbai Deputy Manager - Jaipur Job Purpose: To provide strategic leadership and oversight of the organization's surveillance function, ensuring effective detection, investigation, and prevention of market abuse or misconduct. To safeguard regulatory compliance and uphold market integrity through robust...