Deputy Manager - Surveillance

Job Title: Team Member - Trade and Communication Surveillance

Department: Risk Team

Position Grade Range: Basis eligibility and evaluation

Location: Lower Parel, Mumbai

Who we Are

Axis Asset Management Company Ltd (Axis AMC), founded in 2009, is one of Indias largest and fastest-growing mutual funds. We proudly serve over 1.3 crore customers across 100+ cities with utmost humility.

Our success is built on three founding principles:

• Long Term Wealth Creation
• Customer-Centric Approach
• Sustainable Relationships

Our investment philosophy emphasizes risk management and encourages partners and investors to move from transactional investing to fulfilling critical life goals. We offer a diverse range of investment solutions to help customers achieve financial independence and a happier tomorrow.

Our recent accolades:

• Great Place to Work Certification (Feb 2024- Feb 2025)
• Brandon Hall Group HCM Excellence Awards for Learning Development 2022 - Silver Award
• Morningstar Awards 2022: Best Fund House: Equity, Debt Overall
• Outlook Money Awards 2021: GOLD in Equity AMC of the Year 2021
• World Leadership Congress Awards 2022: Business Transformation Leadership Awards Digital Transformation Project (Mobile App)

Key Responsibilities:

To help the organization in establishing, implementing, and overseeing various Risk
Management practices and policies. To monitor a firm s trading activity using surveillance
applications to safeguard the firm against any reputational and/or financial risk.

• Assisting team members with daily reviewing and analyzing of surveillance s and/or
  exception reports. Properly documenting the review and disposition of the exceptions with
  an appropriate rationale as well as escalating matters with relevant stakeholders if there are
  any true exceptions.
• Review of various modes of recorded communication, i.e. chats, voice, CCTV etc. used by the investment team and identify any unusual activity and potential risk issues.
• Participating in periodic review of surveillance s to ensure optimal quality is being
  achieved.
• Assisting with the UAT of new system enhancements/Model reviews as appropriate.
• Assisting with the design and implementation of new surveillance s as well as refinement
  of existing ones.
• Gathering and analyzing trades data to assist in the firm s response to inquiries received from Exchanges/SEBI or other regulatory bodies.
• Assisting management in their response to inquiries or requests from internal partners (e.g.
  Internal Audit, compliance etc.)
• Remain updated on developments and changes concerning relevant regulatory regulations.