Trade Surveillance-PMLA

Role & responsibilities

• Monitor daily trading activities to detect unusual or suspicious trading patterns.
• Review and investigate exchange-generated and internal surveillance alerts.
• Identify potential instances of:
• Front running
• Insider trading
• Circular trading
• Pump and dump activities
• Market manipulation
• Client-dealer collusion
• Conduct trade investigations and document findings with appropriate evidence.
• Coordinate with Compliance, Risk, Operations, and Business teams for closure of alerts and escalations.
• Prepare and submit periodic surveillance MIS and regulatory reports.
• Monitor employee trading activities and adherence to internal dealing policies.
• Ensure compliance with regulatory requirements prescribed by market regulators and stock exchanges.
• Assist during regulatory inspections, internal audits, and exchange queries.
• Recommend improvements to surveillance frameworks and processes.
• Stay updated with changes in market regulations and surveillance guidelines.

Preferred candidate profile

• 2-3 years of experience in trade surveillance, compliance, or risk within a broking or financial services organization.
• Experience handling exchange and depository surveillance alerts.
• Exposure to regulatory reporting and suspicious transaction investigations.