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Urgent opening for Senior Executive -Trade Surveillance

2.00 to 7.00 Years   Navi Mumbai   08 May, 2023
Topgear Consultants Private Limited
Job LocationNavi Mumbai
EducationNot Mentioned
SalaryRs 5 - 9 Lakh/Yr
IndustryBroking
Functional AreaCorporate Legal DepartmentRisk / Underwriting
EmploymentTypeFull-time

Job Description

    Key Skills Required: 1. Responsible for all Broking and DP surveillance activities which includes Dealing Room CCTV Monitoring, Dealers Screen Surveillance, Listening to Call Recordings, Closure of Internal / Regulatory (Exchange and Depository) Surveillance Alerts, Verification of Employee Trades, Front and Back Running, Periodic Visit to Dealing Rooms, etc.2. Responsible for Compliance of Insider Trading regulations (PITP) which includes providing trade approvals, review / verification of Annual PITP Declarations of Employees, etc.3. Preparing and updating SOPs and Policies.4. System Development and Process Improvement.5. Providing Data to SEBI / Exchanges / Depositories.Functional 1. Knowledge of Broking and DP Industry and their Operations.2. Analytical Skills.3. Teamwork and collaborative skills.4. Good Judgment and Observation Skills.5. Investigative Mindset6. Good working knowledge of MS-office (Word, Excel and PPT)7. Good Written and Verbal Communication.

Keyskills :
risk monitoringamlfcurisk controlsurveillancerisk compliancecctv monitoring

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