Qualification: Graduation & NISM Certification
Responsibilities:
- Generation of PMLA rules alerts for Broking transactions and accounts and information collection from defined sources for broking STR preparation
- Analyze transactions, and trade data on trade surveillance platforms for potential compliance issues (market abuse & manipulation and money laundering) and organize data, identifying any trends like Front Running, Circular Trading, Insider trading, and other market abuse/ manipulative activity
- Tracking of the negative list (negative media attention, United Nations sanctions, FATF High-Risk jurisdiction countries) and screening of clients against such list
- Tracking, understanding, and disseminating regulatory orders, circulars
- SEBI and Exchanges request information and records of Client and their KYC, trading, fund, and depository activities
- Regulatory reports- Reports submissions to under stock exchanges and regulatory guidelines
Mandatory Skills :
- 4+ years of experience in capital markets regulatory compliances related to security market transaction monitoring, understanding of stock market trade, and possible unfair trade practices in the capital market.
- Excel skills
- Strong product knowledge in capital markets
- Strong analytical skills and presentation in reports