Position
Surveillance Senior Manager
Role
Surveillance Senior Manager
CTA Text
Job Description
Location
BKC, Mumbai
Qualification
Law Graduate (LLB) or LLM
Experience
Postgraduate/Graduate with 8–10 years of experience in the depository or broking function. Prior experience of working in the legal department of a DP/broking firm, with in-depth knowledge of SEBI (D&P) Regulations and the Depositories Act
Job Description
- Interpret, analyze, and implement regulatory directions received from SEBI and other statutory authorities in a timely and accurate manner
- Handle critical matters, including orders issued by courts, tribunals, and other legal or quasi-judicial authorities
- Manage the freezing and unfreezing of client accounts and securities in line with regulatory, legal, and surveillance requirements
- Ensure timely, accurate, and effective communication with internal and external stakeholders for regulatory responses, closures, and compliance-related actions
- Prepare, validate, and submit data and information to internal teams and external stakeholders, including SEBI and other regulators
- Maintain and manage regulatory and legal documentation such as SOPs, user manuals, legal records, presentations, and related documents
- Collaborate closely with internal departments to address regulatory, compliance, and operational matters
- Support surveillance-related activities and facilitate inter-departmental coordination on regulatory issues
- Ensure ongoing compliance with applicable SEBI regulations, circulars, guidelines, and other regulatory requirements
- Handle SEBI and other regulatory audits, including preparation of responses and follow-up actions
- Prepare and maintain MIS, periodic reports, and dashboards for management review and regulatory submissions
- Participate in User Acceptance Testing (UAT) for system enhancements, regulatory changes, and process improvements
Order
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