16 Jan 2023
SlrU
Assistant Manager - Surveillance, 2 - 4 Years in Mumbai
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
Qualification: MBA
Experience: 2 - 4 Years
Location: Mumbai
Role and Responsibilities:
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