Specialist - Surveillance & AML

Job description

**Location**: Mumbai Work arrangement: 5 days in the office **The Role**: As the Specialist of Surveillance and AML at Upstox located in Mumbai, your role involves overseeing the design, implementation, and monitoring of surveillance mechanisms to detect behaviors that may breach regulatory rules or internal policies. When suspicious activities are identified, you will collaborate with various teams to address and resolve the issues while upholding the firm's reputation and ensuring compliance with laws and regulations. Your responsibilities include analyzing trade surveillance alerts post-trade and escalating daily exception reports. **Technical Requirements**: - Experience in Exchange Trade regulatory framework - Understanding of trade products (intermediate/ expert knowledge)Understanding of trade life cycle (intermediate/ expert knowledge) - Understanding of market abuse and fraud practices in trade products - Experience of working on SMARTS or similar Trade surveillance system is an advantage. - Experience of undertaking trade alerts review, investigations and disposition - Experience in AML related operations including KYC / due diligence / screening / transaction monitoring is added preference **Other skills**: - Should have analytical skill to identify exception and report to management on timely basis. - Should be good in communication and presentation. - Strong working knowledge with MS Excel, PPT, MS Word and Macros / Visual Basic - Be self-directed, with the ability to proactively identify and analyze problems - Have good organization skills with the ability to work towards and meet deadlines - The candidate must be detail-oriented, organized and assertive - Exchanges / Institutional experience desired **Knowledge Required**: - Knowledge of Compliance laws, rules, regulations, risks and typologies - A general understanding of securities trading and corresponding regulations with proven ability to prioritize and manage multiple projects - Excellent research and analytical skills in addition to a technical aptitude - Excellent written and verbal communication skills - Must be a self-starter, flexible, innovative and adaptive - Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization - Proficient in MS Office applications (Excel, Word, PowerPoint)The candidate should be adaptable to change and willing to work in a fast-paced environment with a positive attitude - Advanced analytical skills - Demonstrated knowledge in area of focus Disclaimer : This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.