Surveillance Lead

2 days ago

Chennai Delhi Mumbai NCR, India Sketchhr Manpower And Hr Consultancy Services Full time ₹ 8,00,000 - ₹ 18,00,000 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

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