Surveillance Compliance

Role Summary:

The role is part of the Broking Surveillance team. It is responsible for monitoring client trading activities, identifying potential irregularities, ensuring adherence to regulatory requirements, and supporting effective surveillance processes across trading segments. The ideal candidate has a strong understanding of broking operations, market surveillance, and SEBI/exchange regulations.

Key Responsibilities:

• Monitor client trading activities across NSE, BSE, MCX and CDSL.
• Analyse trading patterns and identify unusual or suspicious activities.
• Use surveillance systems and tools to monitor transactions and flag potential exceptions.
• Conduct transaction-level analysis and escalate identified concerns as per defined processes.
• Ensure adherence to applicable SEBI, NSE, BSE, MCX and CDSL regulations and guidelines.
• Monitor regulatory circulars and support implementation of new surveillance requirements.
• Maintain proper documentation and audit trails for surveillance activities.
• Support internal and regulatory audits by providing required data and records.
• Prepare and maintain daily, weekly and monthly surveillance reports.
• Track alerts, exceptions and investigation outcomes.
• Support preparation and submission of regulatory/exchange reports within defined timelines.
• Maintain accurate records of surveillance cases and resolutions.
• Investigate unusual trading patterns, client behaviour and potential market abuse indicators.
• Perform basic analysis of trading data to identify trends, patterns and anomalies.
• Coordinate with Risk, Compliance, Operations and other relevant teams for investigation and resolution.
• Ensure timely escalation and closure of surveillance alerts.
• Support development and improvement of surveillance processes and SOPs.
• Identify opportunities to improve surveillance efficiency through automation, analytics and process enhancements.
• Contribute to building robust monitoring and reporting frameworks.

Expected Skills:

• Bachelor's degree in Commerce, Finance, Economics or a related field.
• 2-5 years of relevant experience in Broking Surveillance, Market Surveillance, Risk, Compliance or Broking Operations.
• Prior experience with a stock broking / financial services / capital markets organization is preferred.
• Good understanding of SEBI and stock exchange regulations.
• Hands-on experience with MS Excel and data analysis.
• Knowledge of surveillance tools/systems will be an added advantage.

Our People and Culture:

People and culture are the most important aspects of the business. The team values customer satisfaction, respect, humility, speed with quality, ownership, and passion for the business. Raise is an equal opportunity employer that celebrates diversity and inclusion.

Why Join Raise?

Raise has been recognised as a Great Place to Work for three consecutive years and offers a flat hierarchy, open conversations, high ownership and a strong bias for action within a high-growth fintech ecosystem.

About Raise Financial Services:

Raise Financial Services is building technology-led financial products and infrastructure for India's financially aware and digitally savvy consumers, with Dhan as its flagship investment and trading platform.

Apply for the Role:

Send your resume to: [email protected]