Associate Manager/Manager - Surveillance and AML Job in Mumbai at Upstox

Upstox is hiring for the role of Associate Manager/Manager - Surveillance and AML!

Responsibilities of the Candidate:

• Design, implementation, and oversight of a suite of surveillance designed to detect behaviours that may violate regulatory rules or internal policies and procedures.
• Escalate the activity and work collaboratively with partners across the first and second lines of defence to determine the appropriate resolution of the matter.
• Ensure consideration for the firm's reputation and safeguarding, of its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behaviour, conduct and business practices, and escalating, managing and reporting control issues with transparency.
• Be responsible for the analysis of trade surveillance alerts on a post-trade basis and escalation of day-to-day exception reports.

Requirements: 

• Be self-driven/quick starter
• Have an ownership mindset
• Aggressively drive and deliver results
• 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 working on SMARTS or similar Trade surveillance systems 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 an added preference
• Should have analytical skills to identify exceptions and report to management on a timely basis
• Should be good in communication and presentation
• Strong working knowledge of 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 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 the area of focus