Risk & Internal Controls - Team Leader - Surveillance - Corporate

Kotak Securities · Mumbai

Collected role description

Risk & Internal Controls - Team Leader - Surveillance - Corporate at Kotak Securities

Generate surveillance alerts on daily basis based on parameters defined in surveillance process manual.  Analysis of surveillance alerts to identify the transactions of suspicious nature.
Analyse client’s orders book, trade book, demat records to decide the transactions of abnormal nature and also to decide the action to be taken.  Sending mails to clients asking for relevant information to analyse the surveillance alerts.
Coordinating with operations and IT departments for collection of relevant data required for analysis of surveillance alerts.  Analysing surveillance alerts received from stock exchanges.
Replying to exchange letters and enquiries pertaining to surveillance.  Timely filing of exchange reportings related to surveillance.  Reviewing existing surveillance alerts parameters, surveillance policy and structure and recommending changes to the same for enhancing the quality of surveillance alerts being generated by the company.  Monitoring regulatory changes related to surveillance.
Analysing its impact.
Making necessary changes in policies, systems and procedures to comply with and implement the regulatory changes.  Managing the surveillance alerts daily data, proper data keeping of alerts and records for future reference and audit purpose.
Handling audit queries.