Dados Technologies - KYC/AML Analyst - Trading & Stock Market/Broking

About Bullsmart

Bullsmart is a fin-tech company that uses technology to help young people start investing. We provide equal investment service opportunities for investors who have started on their investments path. We share cutting-edge financial tech tools, brilliant investment ideas, and wealth growth opportunities with young investors.

Our Values

We provide equal investment service opportunities to beginners who can enjoy all our premier investment services.

We offer abundant investment tools to guide investors to discover investment opportunities and make the decision right decision.

We deeply care about the growth of our investors. We wish to support them in understanding how to invest and foster their investment skills.

Key Responsibilities

- Having an experience of handling a team of 5-6 people and responsible in daily handling of the same

- Creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews.

- Improving surveillance tools and applications by coordinating with technology on the timely implementation of enhancements and proactively addressing potential issues.

- Gathering, reviewing, investigating and analyzing trade data as well as responding to regulatory inquiries from each of the major regulatory bodies (e.g. SEBI /NSE/BSE/MCX). The response process includes compiling all requested documentation, analyzing the results to identify potential issues, escalating potential risk issues to the appropriate coverage areas and providing input on potential corrective action plans designed to address issues that are identified.

- Participating in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments.

- Performs basic, preliminary surveillance for trading in specified products

- Monitoring trading activity in markets to detect anomalies by reviewing electronically generated alerts

- Conduct analysis to identify potential risks for the Firm and escalate relevant matters to a designated senior as appropriate

- Perform historical research and review of alert trends and exceptions reported

- Identify improvement areas and opportunities for automation

- Secondary responsibilities will include handling of regular compliances of NSE/ BSE/MCX & depositories.

- Keep abreast of trading system updates and products to implement effective surveillance oversight.

- Stay informed of global regulatory and market structure changes that may affect the scope of existing surveillance program

- Experience Required: 3-8 Years of Relevant experience in similar Industry

Technical Requirements:

- 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 of working on SMARTS or similar Trade surveillance system 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 added preference

Other skills:

- Should have analytical skill to identify exception and report to management on timely basis. should be good in communication and presentation.

- Strong working knowledge with 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 Required:

- 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 area of focus