InCred Capital
Website:
incredcapital.com
Job details:
Job Description/ Responsibility:
- Transaction monitoring Alerts- Investigation for alerts
- Depository Alerts- Analysis for alerts received from the depositories
- Exchange Alerts- Analysis for trades received from the exchanges
- STR Reporting- Preparing of GOS and Reporting such cases to FIU within the specified timelines
- Inspection of Branches and Authorised Persons
- Sample Recordings
- Submission of Quarterly report on surveillance alerts for every quarter
- Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews.
- Improving surveillance tools and applications by coordinating with technology on the timely implementation of enhancements and proactively addressing potential issues.
- Gathering, reviewing, investigating and analyzing trade data as well as responding to regulatory inquiries from each of the major regulatory bodies (e.g. SEBI/NSE/BSE/MCX, FIU, other enforcement agencies).
- Coordinating with Exchanges on trade surveillance and FIU on and AML Surveillance related matters.
- Performs basic, preliminary surveillance for trading in specified products
- Monitoring trading activity in markets to detect anomalies by reviewing electronically generated alerts
- Conduct analysis to identify potential risks for the Firm and escalate relevant matters to a Principal officer
- Perform historical research and review of alert trends and exceptions reported
- Identify improvement areas and opportunities for automation
- Keep abreast of trading system updates and products to implement effective surveillance oversight.
- Ensure compliance with Prevention of Insider Trading regulations
Qualification: CA/CS/MBA/ Graduate having relevant experience of 2-3 years
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