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16 Jan 2023


Assistant Manager - Surveillance, 2 - 4 Years in Mumbai


3-4 Years

NBFC BFSI, equity, Commodities, Surveillance, Finance, capital market, financial markets, Currency Trading, BFSI, Broking, Mba Finance

Job Description

Position: Assistant Manager - Surveillance
Qualification: MBA
Experience: 2 - 4 Years
Location: Mumbai

Role and Responsibilities: 
  • Monitor Market (Equity, F&O, Currency, SLBM, IRF, Commodity) 
  • Attend to queries raised by Regulatory Authorities 
  • Prepare MIS and other relevant reports 
  • Maintain and Enhance Database 
  • Process alerts and conduct appropriate analysis 
  • Perform daily BOD-EOD activities, pro-active and ready to take responsibility 
  • Performing the operational and other activities of the department and monitoring. 
  • To process alerts and logically close / initiate action, wherever required. 
  • Organizing meetings handling related activities, 
  • Preparation of BRS, Test scenarios for various functionalities of the system/Applications, conducting UAT and to co-ordinate across different teams, stakeholders, business and infra teams. 
  • Carry out various types of investigations and related analysis 
  • Reply to queries raised by regulatory authorities 
  • Conducting meetings and attending meetings with Regulators. Co-ordination with Inspection (including Regulator) and Audit Team i.e. internal, BCMS, ISMS, ISO , etc. 
  • Address issues and queries raised 
  • In depth knowledge of Capital, Financial and Commodity Markets and Regulators 
  • In depth knowledge of Product available for trading, product processors, operation and Regulatory controls 
  • MS Windows word, Excel, PPT, Team Building, technically proficient in Software’s, Presentation skill. 
  • Various applicable Regulations applicable to MIIs i.e. SAST, PIT , PFUTP, PMLA, AML, FIU , LODR, ICDR etc. 
  • Ability to work in shifts Equity, FO, Currency, SLBM, IRF, Commodity etc. segments
  • Candidates having experience from BFSI industry, Broking Firm, Foreign Broking Houses will be given 

16 January 2023


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