Manager - Trade Surveillance

The role is responsible for ensuring compliance with SEBI (Prevention of Insider Trading) Regulations and overseeing related policies and processes for a listed company and SEBI registered intermediary. The individual will draft, update, and disseminate policies and FAQs, manage the approval system for employee trading, and address employee queries regarding trading activities. They will also analyze employee trades to detect violations and take corrective action. Additionally, the role involves managing conflict of interest policies and systems, ensuring proper documentation, and presenting violations or policy changes to senior management. Effective coordination with the IT team and maintaining accurate records are key aspects of the role.

Experience : 7 + years

Roles & Responsibilities :

• Thorough knowledge of SEBI (Prevention of Insider Trading) Regulations and

Circulars / notifications issued thereunder from time to time

SEBI registered intermediary

effect to the provisions of above Policies

required and disseminating the same to all employees

approvals / rejections to employees for trading in securities market. And

undertaking the changes / modifications in the system as required in coordination

with IT team

records of the same

Employee trading

of Policies and taking the corrective measures

Senior Management as the case may be

b) Conflict of interest between various businesses of the Company

effect to the provisions of above Policies

approvals / rejections in the conflict scenarios. And undertaking the changes /

modifications in the system as required in coordination with IT team

around it

Conflict of interest

Committee / Senior Management as the case may be