Deputy Manager - Surveillance - BFS

Role Title:

Asst. Manager - Surveillance

Function : Surveillance

Reports to - Functionally

Manager - Surveillance

Reports to - Administratively

Manager - Surveillance

Direct Reporting From

N/A

I. Purpose of the role:

II. Key Responsibilities

Key Responsibility

1. Scrip monitoring and generation of alerts

- Monitor the variations/ movements of scrip on an on-going basis through surveillance system to identify any significant changes in price/ trade volume of the scrip.

- Execute pre-defined process to generate periodic alerts based on scrip movements and upload these alerts in the case management system.

2. Surveillance measures

- Determine the script for which change in price band is required as per pre-defined process.

- Determine the script which needs to be transferred from/to trade for trade segment as per pre-determined process.

- Identify news items for rumour verification. Draft and despatch letter to concerned company for rumour verification and clarifications regarding the deviations in price/ trading volume of the scrip.

- Keep self updated on the recent developments on scrip of various companies.

3. MIS & reporting

- Generate daily/ periodic reports about market update and alert details to be sent to senior management and external regulators.

- Generate reports as a part of daily BOD and EOD processing.

Note: Additional responsibilities may be added from time to time depending on organisational requirements. Role Description for: Assistant Manager - Surveillance

To monitor the variations in scrips on an on-going basis and identify significant deviations. To generate timely alerts, initiate necessary surveillance action and report the same as per pre-defined process. To generate daily/ periodic MIS reports.

III. Key attributes of the role

Revenue (range) -

Direct/Indirect - None

Range - 0

Budget (range) -

Approver/User - None

Range - 0

Number of people managed: 0

IV. Performance Measures

Performance Measures

1. Financial measures

- N/A

2. Customer measures

- N/A

3. Internal Processes measures

- Adherence to defined process and TAT to meet the defined SLAs = 100%

- Quality of the analysis in the reports/ thorough rumour verification

4. Learning and growth measures

- Number of hours of training annually >=40

- Quality of recommendations for process improvements

V. Collaboration - Internal & External

Internal Stakeholder/External Stakeholder:

- Investigation

 -BSE

- Trade

- Ministry of Finance (MOF)

- Listing

- SEBI

VI. Role Holder Requirements

Educational Qualifications

Essential - MBA / CA degree

Desired - NA

Role Requirements

- Knowledge of financial and capital markets

- Knowledge of statutory requirements applicable to the financial markets

Experience

Essential - 1-3 years of experience

Desired - Relevant experience in financial services/ exchange

VII. Competencies required for the role

Behavioural competencies:

- Business Acumen

- Domain Knowledge

- Innovation and Improvement

- Interpretation and adherence to Statutory Requirements

- Teamwork

- Financial Management & Statistics

Managing relationships

- Usage of Software Application & Tools

Living the values

- Knowledge of market practices

- Process orientation

- Product/ Segment knowledge

- Drafting Skills