12 Insider Trading Jobs

As an E-Communication Surveillance personnel at Compliance Conduct and Operational Risk division, your primary responsibility will be to identify potential instances of market abuse, specifically insider trading and market manipulation. You will utilize established surveillance systems to monitor activities in both Firm and Employee accounts in order to ensure compliance with policies. The E-Communication surveillance team plays a crucial role in assessing risks across markets and implementing surveillance programs to protect the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Your role will involve reviewing communications surveillance alerts and communications subject to first-level review, with a focus on identifying unusual activity and potential compliance issues. Collaborating with business and compliance stakeholders to pinpoint potential market misconduct and escalate compliance issues will be key aspects of your responsibilities. Additionally, you will conduct alert-based reviews to identify potential violations of laws, rules, and regulations. Working alongside your peers, you will handle multiple reports and engage in result-oriented tasks within a fast-paced environment. Furthermore, you will be expected to identify areas for process improvement and actively contribute towards enhancing existing processes. It is essential to proactively highlight key issues, risks, trends, and observations to management and key stakeholders. Possessing a sense of ownership and accountability, you will be responsible for following through on existing issues and cases. The ideal candidate for this role should hold a Bachelor's Degree or possess equivalent experience. A minimum of 6 years of overall experience in E-Communication/trade surveillance is required, along with product experience in financial products such as equities, futures, and fixed income, or knowledge of information barriers/asset management. An understanding of markets and potential market manipulative behavior, coupled with the ability to conduct reviews related to regional rules, regulations, and policies, is crucial. Strong organizational and analytical abilities, attention to detail, and the capacity to handle multiple tasks in a fast-paced environment are essential qualities for this position. Experience with surveillance systems such as Smarsh Connected Archive, NICE VOISS, or similar platforms would be advantageous. As part of the Firms Global Compliance Surveillance team, you will play a vital role in safeguarding the firm against risks and ensuring compliance with regulatory requirements.,

As a member of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in maintaining the strength and resilience of the company. Your expertise is vital in facilitating responsible business growth by proactively identifying and addressing emerging risks. By leveraging your expert judgement, you tackle real-world challenges that have a direct impact on the company, its customers, and the broader communities we serve. Within the Risk Management and Compliance team, our culture encourages innovative thinking, challenges conventional practices, and strives for excellence in all endeavors. Joining the Compliance Conduct and Operational Risk division as an E-Communication Surveillance Personnel, you will be entrusted with the critical task of detecting potential instances of market abuse, particularly insider trading and market manipulation. Utilizing established surveillance systems, you will monitor activities across Firm and Employee accounts to ensure compliance with internal policies and regulatory requirements. Your role will be pivotal in mitigating reputational and financial risks, thereby safeguarding the firm's interests. Your key responsibilities will include reviewing communications surveillance alerts and communications subject to first-level review to identify unusual activities and potential compliance issues. Collaborating with business and compliance stakeholders, you will play a key role in identifying and escalating potential instances of market misconduct. By conducting alert-based reviews for potential violations of laws, rules, and regulations, you will contribute to upholding the highest standards of compliance. In this dynamic role, you will work alongside your peers to handle multiple reports and engage in result-oriented tasks within a fast-paced environment. Your proactive approach, coupled with a strong sense of ownership and accountability, will be instrumental in addressing existing issues and cases effectively. Additionally, you will be expected to identify areas for process improvement and actively contribute to enhancing operational efficiency. To excel in this position, you should possess a Bachelor's Degree or equivalent experience, along with a minimum of 3 years of prior E-Communication/trade surveillance experience. A solid understanding of financial products, such as equities, futures, and Fixed income, as well as familiarity with information barriers and asset management, will be beneficial. Your ability to interpret market dynamics and detect potential market manipulative behavior, in alignment with regional rules and regulations, is essential. Strong written and verbal communication skills, exceptional organizational abilities, and keen attention to detail are prerequisites for this role. You should demonstrate proficiency in handling multiple tasks simultaneously and exhibit adaptability to evolving work processes and environments. Experience with surveillance systems like Smarsh Connected Archive, NICE VOISS, or similar tools will be advantageous. By joining our team, you will have the opportunity to contribute to the continuous enhancement of our risk monitoring and compliance practices. Your dedication to excellence and commitment to upholding the highest ethical standards will be instrumental in ensuring the firm's continued success in a dynamic and ever-evolving market landscape.,

WE'RE HIRING! We are looking to fill the position of Senior Surveillance Executive in our organization. Location: Santacruz, Mumbai Experience: 6 - 8 Years Qualification: Graduate / Postgraduate in Finance, Commerce, Economics or related field Certifications Preferred: NISM Certification KEY RESPONSIBILITIES: Monitor and analyze trading activities to identify instances of market manipulation, insider trading, front running, and other regulatory breaches. Review alerts generated from NSE / BSE surveillance systems and internal tools. Investigate anomalies and prepare detailed reports for internal review and regulatory filings. Liaise with Exchanges and internal teams for closure of alerts and regulatory observations. Support audits and inspections related to surveillance and compliance. Assist in process improvement and documentation of surveillance procedures. SKILLS REQUIRED: In - depth knowledge of SEBI, NSE, BSE regulations. Hands on experience with surveillance systems / tools. Strong data analysis and interpretation skills. Interested candidates can share their resumes at *vidhi.bhatt@ysil.in* and *rituja.jagtap@ysil.in* with the Subject Line: Sr. Surveillance Executive.

WE'RE HIRING! We are looking to fill the position of Surveillance Officer in our organization. Location: Santacruz, Mumbai Experience: 6 - 8 Years Qualification: Graduate / Postgraduate in Finance, Commerce, Economics or related field (NISM Certifications Preferred) KEY RESPONSIBILITIES: Monitor and analyze client and proprietary trades to detect suspicious patterns such as market manipulation, insider trading, or front running. Investigate alerts generated by NSE / BSE surveillance systems and internal monitoring tools. Handle regulatory communications, inspections, and ensure timely closure of observations. Prepare comprehensive reports on surveillance findings for internal and regulatory use. Enhance surveillance frameworks and offer guidance for compliance protocols. Stay updated with SEBI circulars, exchange guidelines, and industry best practices. SKILLS REQUIRED: Strong knowledge of SEBI, NSE, BSE regulations and surveillance mechanisms. Proficiency in interpreting trading data and analyzing trade behaviors. Experience with surveillance tools / platforms and regulatory reporting. Interested candidates can share their resumes at *vidhi.bhatt@ysil.in* and *rituja.jagtap@ysil.in* with the Subject Line: Surveillance Officer.

Hi, Greetings! Please find below details of the job opportunity at BSE Ltd, Mumbai. Job description: Perform daily BOD-EOD activities. Investigate abnormal activities, including manipulation, artificial trades, insider information, and social media rumors/news. Draft detailed investigation reports, analyzing trading activities and patterns in the equity derivatives, currency derivatives, and commodity derivatives segments. Comprehensive Review of KYC Processes- KYC includes Customer Identification Program (CIP), beneficial Ownership, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD). Handling alerts such as price manipulation, anti-money laundering, suspicious transactions/ trades on exchange platforms. Analyse trading activities to identify irregularities and trends. Undertake various types of back testing and data analysis to support investigations . Attend and address complaints and queries and ensure to close within defined TAT. Identify areas for software and process improvements & update to senior officials. Undertake software Testing to identify bugs and functional gaps. Elementary knowledge or awareness of Capital, Financial, Commodity Markets and regulatory frameworks. Required Skills: Possesses strong analytical and presentation skills, excellent verbal and written communication abilities, and proficient in MS Word, Excel, and PowerPoint. Knowledge on Machine Learning Websites such as Kaggle, GitHub, Coursera etc. Hands on experience for using additional software tools like Power BI, Tableau, Python, Macros, Data Analytics etc. Sound knowledge of applicable Rules / Regulations /Acts replated to capital market. Candidates having elementary knowledge of trading / surveillance in stocks markets (Equity & Derivatives) and/or Commodity markets and /or depository transactions and/or currency markets. Ability to work with active team engagement. Note: Required years of experience for this profile 4 years to 14 years. Regards, Mahek shah BSE Limited.

Develop guidelines for various topics such as the company's code of conduct, compliance control standards, anti-corruption, statutory compliances, fair trade, data protection. Compliance Organization Management. Compliance Training. Tamil is Must.

Role & responsibilities We are hiring for a leading global investment bank looking for an experienced professional to join its Market Surveillance team . The role involves reviewing trading activity and communications to detect potential signs of market abuse, insider trading, and policy breaches. The ideal candidate will have a strong understanding of regulatory frameworks and hands-on experience with surveillance tools. Preferred candidate profile

Dear Candidate, Greetings!! Kindly find the Job Description for the Online Surveillance. Role and Responsibilities: Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions (Equity, F&O, Currency, SLBM, IRF, Commodity). Supervise routine activities as per defined SOP and TAT. Verification of surveillance alerts such as market manipulation, price / volume alerts, order spoofing, front running alerts, insider trading alerts, etc. Analyse various alerts/ exception reports on trading activities/ patterns to short-list cases which require detailed analysis/ investigation and initiate action, if warranted. Process surveillance alerts, conduct preliminary analysis and escalate suspicious transitions Conduct various type of investigation to prevent / detect suspected market irregularities and initiate appropriate escalations and actions. Ensure compliance of SEBI/Regulatory frameworks, orders, and corresponding actions Attend internal and external statutory and regulatory audits and compliances. Improve operational efficiencies by process improvements, initiating business requirements, software testing and new features / functional release implementations. Coordinate with regulators for preparing / reviewing various policies and circulars, SOPs, user manuals used for various surveillance actions. In depth knowledge of Capital, Financial and Commodity Markets and various regulatory frameworks. Functioning of surveillance systems, processing of various surveillance alerts, and taking them to logic conclusion / investigation. Various applicable Regulations applicable to MIIs i.e. SAST, PIT, PFUTP, PMLA, AML, FIU, LODR, ICDR etc. Microsoft applications such as MS Windows, word, Excel, PPT etc. Technically proficient in Software's / applications used for Surveillance related activities. Preferred Skills: Possesses strong analytical and presentation skills, excellent verbal and written communication abilities, and proficient in MS Word, Excel, and PowerPoint. Knowledge on Machine Learning Websites such as Kaggle, GitHub, Coursera etc. Hands on experience for using additional software tools like Power BI, Tableau, Python, Data Analytics etc. Sound knowledge of applicable Rules / Regulations /Acts related to capital market. Candidates with strong domain of trading / surveillance in stocks markets (Equity & Derivatives) and/or Commodity markets and /or depository transactions and/or currency markets. Candidates with domain in one of more verticals viz experience from BFSI industry, Broking Firm, Foreign Broking Houses, depositories. Clearing corporations etc. will be given preference. Additional professional certification mandatory (NISM, Risk, Fraud examiner etc.) Work Experience: 4 years to 22 years. Regards, Yashashree Wagle

SCOPE OF WORK Responsible for ensuring compliance with Companies Act, SEBI Regulations, FEMA, and other statutory requirements. Key duties include managing ESOP and insider trading compliances, board/committee meeting documentation, statutory filings, audits, and regulatory reporting, including overseas subsidiaries. HERE IS WHAT YOU WILL DO Sound knowledge of Companies Act, 2013, SEBI Regulations (LODR, PIT, ESOP, Takeover Code etc.), FEMA Regulations etc. Well versed with compliances under SEBI Insider Trading Regulations (Trading Plan, Pre-clearance, Disclosures, etc.) Well versed with compliances under SEBI ESOP Regulations (Implementation of ESOP Scheme, Allotment, Corporate Action & Listing of ESOP Shares) Well versed with filing of quarterly/ event-based compliances on Stock Exchange(s) portal Preparation & filing of ROC Forms/ Returns Preparation of Notice, Agenda, Minutes of Board/ Committee Meeting Maintenance of Statutory Registers/ Records under Companies Act, 2013 Well versed with Compliances with respect to Declaration of Dividend, IEPF Matters etc. Management of Audit Files for Secretarial / Statutory/ Internal Audit Active participation in preparation & finalization of Annual Report (AGM Notice, Board Report, CGR, BRSR) Tracking regulatory changes on real time basis and with its impact assessment Hand on experience in managing compliance of overseas subsidiaries WHAT WE ARE LOOKING FOR Qualified Company Secretary with Post Qualification Experience of around 4-6 Years Preferably with experience from Listed Organisations

Hello Candidate, Greetings from Hungry Bird IT Consulting Services Pvt. Ltd. We're hiring a Company Secretary for our client who is an established manufacturing company planning for an Initial Public Offering (IPO). Location: Hyderabad Experience: 5 to 8 yrs Gender: Any Role: Company Secretary Industry Type: Manufacturing Interview Mode: Only Face to face Department: Secretarial & Legal Employment Type: Full Time, Permanent Role Category: Finance & Company Secretary Roles and Responsibilities Ensure full compliance with the Companies Act, 2013, SEBI Regulations, and other corporate laws. Manage and coordinate all aspects of the IPO process by assisting leadership and external advisors. Prepare agendas, and detailed minutes for Board, Committee, and Shareholder meetings. Handle all statutory filings with ROC, Stock Exchanges, and SEBI in a timely manner. Assist in establishing and implementing corporate governance policies required for a listed entity. Act as the central point for secretarial and compliance-related matters within the organization. Desired Candidate Profile 5-8 years of post-qualification experience as a Company Secretary. Must have at least 2 years of hands-on experience managing secretarial compliance for an already listed company. Strong knowledge of SEBI (LODR) regulations is essential. Must be a qualified member of the Institute of Company Secretaries of India (ICSI). Prior experience in an IPO is not required; candidate will learn the process with the team. (Interested candidates can share their CV to aradhana@hungrybird.in or call on 9959417171) Please furnish the below-mentioned details that would help us expedite the process. PLEASE MENTION THE RELEVANT POSITION IN THE SUBJECT LINE OF THE EMAIL. Example: RAVI, COMPANY SECRETARY, 6 YEARS, 30 DAYS NOTICE Name: Position applying for: Total experience: Notice period: Current Salary: Expected Salary: Thanks and Regards Aradhana +91 9959417171

Desired profile companies. Exposure in Secretarial matters in a large-scale listed organization having multiple group KEY ROLES & RESPONSIBILITIES: Handling Legal, Compliance, Statutory & Contractual Compliances for the company. Compliance with REIT Regulations, Insider Trading, Equity and Debt Listing Regulations, Corporate Governance framework and suggest improvements wherever required. Review of NDA, engagement letters, business contracts, MoU, financing agreement, service contracts etc. Ensuring compliance with SEBI REIT and LODR Regulations for listed equity and debt securities. Handling investor grievances in timely manner. KEY SKILLS: Excellent command over all aspects of Company Secretary and compliance matters. Experience in handling issue of debt and equity securities, IPO, Fund raising. Knowledge of Real Estate Central / State laws and regulations can be added advantage. Excellent English and presentation skills. Enthusiastic, Self-motivated and a Team leader.

Job Purpose: To ensure compliance with regulatory requirements under SEBI (Prohibition of Insider Trading) Regulations, 2015, and internal codes of conduct relating to handling unpublished price-sensitive information (UPSI), trading windows, and disclosures. Role & responsibilities Develop, implement, and monitor the Code of Conduct for Prevention of Insider Trading in accordance with SEBI regulations. Maintain Structured Digital Database (SDD) as mandated under SEBI PIT Regulations. Monitor and manage the trading window closures/openings and ensure timely communication to designated persons. Track and analyze trading activity of designated persons and immediate relatives for potential insider trading risks. Collect and manage disclosures under PIT Regulations including initial, continual, and annual disclosures. Conduct training and awareness sessions on PIT regulations for designated employees and relevant stakeholders. Ensure secure handling and storage of Unpublished Price Sensitive Information (UPSI) . Liaise with regulators (e.g., SEBI, stock exchanges) and respond to queries, notices, or inspections. Investigate and report suspected breaches or violations of the insider trading policy. Coordinate with HR, IT, Legal, and business teams to ensure integrated compliance mechanisms. Maintain comprehensive documentation for audit trails and compliance reporting . Preferred candidate profile Education: Graduate/Post-Graduate in Law, CS/CAMS certification preferred. Experience: 3-7 years in compliance, legal, or regulatory roles, with hands-on experience in PIT regulations. Skills: Strong knowledge of SEBI PIT Regulations and SEBI LODR Regulations. Excellent communication and analytical skills. High ethical standards and attention to detail. Familiarity with compliance tools/software for SDD and trade monitoring. Job Location - Nariman Point, Mumbai Interested and relevant candidates can apply at astha.satam@abans.co.in