Department Locations Apply Now
Surveillance Manager-Equity BrokingKolkata, Minto ParkRole Description This is a full-time on-site role for a Surveillance Manager located in Kolkata. The Surveillance Officer will be responsible for monitoring and identifying potential risks and violations of Equity market regulations. The Officer will also be responsible for reporting findings and assisting with investigations. Candidates from Kolkata will only be considered. 5 years of experience in similar role is a must. Job Description - Client Mapping with ODIN ( Trading Software ) Margin/Limit Setting of Clients Starts Risk Management Software Dealing in various segments Inform BAN securities to clients Inform Trade & position to Branch ( If any ) at Dayend Back-up of Daily Equity trade & Orders for compliance purpose ASM/GSM securities Block in Terminal Blocking of 5 Days violation Clients in Equity Terminal Margin files uploading in 'Protector' Online Margin Short reporting to RM/Dealer in Cash Segment before Market End Online Margin Short reporting to RM/Dealer in F&O Segment before Market End Back up of NEAT & ODIN Upload 5 days/10 days debit file to RMS Trade Modification Reporting of Aleart generated by BSE Reporting of continuous Client debit of Cash segment to Management Reporting of continuous Client debit of F&O segment to Management Call / Mail to dealer for Debit clear of Clients Client Margin review during Market hour Client Margin addition Qualifications Atleast 5 years of Equity Experience in a similar role is a must. Strong Analytical and Supervisory Skills Effective Communication and Report Writing skills Experience in Trading and Market Regulations Attention to detail and ability to work efficiently under tight deadlines Bachelor's degree in Finance, Business, or a related field Certification(s) in Securities or Risk Management is a plus Job Types: Full-time, PermanentApply
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Attention Investors KYCIPO
"Attention Investors

1. Stock Brokers can accept securities as margin from clients only by way of pledge in the depository system w.e.f. September 1, 2020.

2. Update your mobile number & email Id with your stock broker/depository participant and receive OTP directly from depository on your email id and/or mobile number to create pledge.

3. Pay 20% upfront margin of the transaction value to trade in cash market segment.

4. Investors may please refer to the Exchange's Frequently Asked Questions (FAQs) issued vide circular reference NSE/INSP/45191 dated July 31, 2020 and NSE/INSP/45534 dated August 31, 2020 and other guidelines issued from time to time in this regard.

5. Check your Securities /MF/ Bonds in the consolidated account statement issued by NSDL/CDSL every month.

6.Dear Investor,
As you are aware, under the rapidly evolving dynamics of financial markets, it is crucial for investors to remain updated and well-informed about various aspects of investing in securities market. In this connection, please find a link to the BSE Investor Protection Fund website where you will find some useful educative material in the form of text and videos, so as to become an informed investor.
We believe that an educated investor is a protected investor !!!

.......... Issued in the interest of Investors"


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AUM Capital Market Pvt Ltd :SEBI Single Registration Number : INZ000185431 [ NSE : CM, FO, CD , BSE CM, FO , CD, MCX(COMMODITY), NSE & BSE COMMODITY, Registered Member Code: 12764 (NSE), 3180(BSE), 56505 (MCX). AMFI ARN. No. 64606 Depository Participant : NSDL : DP Id: IN304211, CDSL: SEBI Registration no. : IN-DP-CDSL-479-2008 DP Id: 12057800. Research Analyst SEBI Registration no.: INH300002423 CIN: U67120WB2005PTC103417
Aum Capital Market Pvt. Ltd. is a distributor of Mutual Fund & IPOs.Investment in Securities is subject to market risk.

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