Surveillance Compliance

Raiseholding; Mumbai; On-site; INR 900,000 - 1,300,000; Full time

Job summary

Raise is seeking a detail-oriented Broking Surveillance professional to monitor trading activities across NSE, BSE, MCX and CDSL and ensure compliance with SEBI and exchange regulations. You will analyze patterns, flag exceptions, coordinate with Risk, Compliance and Operations, and help improve surveillance processes to mitigate market abuse risks.

The role requires 2–5 years in broking or market surveillance, strong data analysis skills, and proficiency with MS Excel.

Qualifications

• Bachelor’s degree in Commerce, Finance, Economics or a related field.
• 2–5 years of relevant experience in Broking Surveillance, Market Surveillance, Risk, Compliance or Broking Operations.
• Prior experience with stock broking/financial services/capital markets is preferred.

Responsibilities

• Monitor client trading activities across NSE, BSE, MCX and CDSL.
• Analyse trading patterns and identify unusual or suspicious activities.
• Use surveillance systems and tools to monitor transactions and flag potential exceptions.
• Conduct transaction-level analysis and elevate identified concerns as per defined processes.
• Ensure adherence to SEBI, NSE, BSE, MCX and CDSL regulations and guidelines.
• Monitor regulatory circulars and support implementation of new surveillance requirements.
• Maintain documentation and audit trails for surveillance activities.
• Support audits by providing required data and records.
• Prepare and maintain daily, weekly, and monthly surveillance reports.
• Track alerts, exceptions and investigation outcomes.
• Submit regulatory/exchange reports within timelines.
• Maintain records of surveillance cases and resolutions.
• Investigate unusual trading patterns and potential market abuse indicators.
• Coordinate with Risk, Compliance, Operations and other teams for investigation.
• Ensure timely escalation and closure of surveillance alerts.
• Support development and improvement of surveillance processes and SOPs.
• Identify opportunities to improve surveillance efficiency via automation and analytics.

Skills

Broking Surveillance

Market Surveillance

Regulatory knowledge

Data analysis

Excel proficiency

Education

Bachelors in Commerce/Finance/Economics

Tools

MS Excel

Surveillance tools

Job description

Raise is built on this core philosophy, we will bring exceptionally great products, awesome user experience and best-in-class customer service to our users.

We started with our first consumer product, Dhan, an investment and trading platform launched in November 2021. Today, Dhan ranks #8 amongst stock brokers in India and continues to be one of the fastest-growing platforms in the investment and trading ecosystem.

In September 2026, Dhan was also recognised as Fintech Startup of the Year at the Global Fintech Festival, reflecting the innovation, product excellence and customer focus that continue to shape the platform. Backed by a passionate team of builders, believers, designers and problem-solvers, we are building a trusted ecosystem of financial products that empowers millions of users to make smarter financial decisions.

We are looking for a detail-oriented and analytical professional to join our Broking Surveillance team. The role will be responsible for monitoring client trading activities, identifying potential irregularities, ensuring adherence to regulatory requirements, and supporting effective surveillance processes across trading segments. The ideal candidate should have a strong understanding of broking operations, market surveillance, and SEBI/exchange regulations, with the ability to analyse trading patterns and coordinate with internal teams to address potential risks or exceptions

Key Responsibilities:

• Monitor client trading activities across NSE, BSE, MCX and CDSL.
• Analyse trading patterns and identify unusual or suspicious activities.
• Use surveillance systems and tools to monitor transactions and flag potential exceptions.
• Conduct transaction-level analysis and elevate identified concerns as per defined processes.
• Ensure adherence to applicable SEBI, NSE, BSE, MCX and CDSL regulations and guidelines.
• Monitor regulatory circulars and support implementation of new surveillance requirements.
• Maintain proper documentation and audit trails for surveillance activities.
• Support internal and regulatory audits by providing required data and records.
• Prepare and maintain daily, weekly, and monthly surveillance reports.
• Track alerts, exceptions and investigation outcomes.
• Support preparation and submission of regulatory/exchange reports within defined timelines.
• Maintain accurate records of surveillance cases and resolutions.
• Investigate unusual trading patterns, client behaviour and potential market abuse indicators.
• Perform basic analysis of trading data to identify trends, patterns and anomalies.
• Coordinate with Risk, Compliance, Operations and other relevant teams for investigation and resolution.
• Ensure timely escalation and closure of surveillance alerts.
• Support development and improvement of surveillance processes and SOPs.
• Identify opportunities to improve surveillance efficiency through automation, analytics and process enhancements.
• Contribute to building robust monitoring and reporting frameworks.

Expected Skills:

• Bachelor’s degree in Commerce, Finance, Economics or a related field.
• 2–5 years of relevant experience in Broking Surveillance, Market Surveillance, Risk, Compliance or Broking Operations.
• Prior experience with a stock broking / financial services / capital markets organization is preferred.
• Good understanding of SEBI and stock exchange regulations.
• Hands‑on experience with MS Excel and data analysis.
• Knowledge of surveillance tools/systems will be an added advantage.

We are a start‑up organization focused on fast growth with quality products; hence, the ability to work in a fast‑paced environment goes without saying!

Our People & Culture:

People and culture are the most important aspects of our business.

We are looking for team members just like us, in simple words - good people to work with and demonstrate following personality traits:

• Be super obsessed about ensuring customer satisfaction. (We are here because of our customers, and will be here only if we serve our customers)
• We have a single opportunity to serve. (Our customers will give us one opportunity to serve - we can’t let them down. Be it product, uptimes, customer service or any interaction we have to deliver a wow experience.)
• Respect your work, your team, your co‑workers and our customers. (The only way to get respect is to give it first)
• Speed is all that matters. Ship right and ship faster. (You either help the team move ahead fast, or you slow it down. We prefer the first.)
• Humility & politeness over arrogance & over‑confidence. (If you are the smartest one in the room, bring up others to speed. We are here to serve our customers, not to prove a point.)
• Quality over quantity. (It is fine if you pick up a few things to do, but do them exceedingly well.)
• Make your hands dirty irrespective of who you are. (Our CEO responds to customers every day. Our CTO codes every day. This is us.)
• Talent and competency over credentials.
• Entrepreneurial, ownership driven and disciplined. (We trust you to help us gain and retain the trust of our customers and our stakeholders)
• Less words, more action. (Believe in something? show it by doing things. Not just by talking about it)
• Flat hierarchy with open culture & conversations. (You are among all of us, and we all are with you)
• Passionate about the business you are a part of. (Do it because you are passionate about it, not because it’s your job.)
• Raise is an equal opportunity employer. (We celebrate diversity and inclusion.

Why Join Raise?

We’ve been recognised as a Great Place to Work for three consecutive years, reflecting the culture we’ve built and the way we work together. At Raise, you’ll experience a flat hierarchy, open conversations, high ownership and a strong bias for action. We value people who bring passion, humility and curiosity to their work, and who care deeply about building great products and creating meaningful customer impact.

We believe in growth with ownership, speed with thoughtfulness and ambition with humility. We celebrate wins, learn from challenges and give people the ownership and responsibility to build and make an impact. If you enjoy building from the ground up, working with passionate people, and being part of a high‑growth fintech ecosystem, Raise offers an environment where you can do meaningful work and grow with the business.

About Raise Financial Services

Raise Financial Services is building technology‑led financial products and infrastructure for India’s financially aware and digitally savvy consumers.

Our ecosystem spans multiple aspects of financial services, with Dhan as our flagship investment and trading platform. Alongside Dhan, we are building and scaling businesses across the financial ecosystem, including Millions, Upsurge, Filter Coffee, Stratzy, Pluto Insurance, Fuzz and several other emerging products and platforms.

Our ambition is to build a trusted ecosystem of financial products and experiences that make investing, trading, wealth creation and other financial services simpler, smarter and more accessible.

• Learn more about our Investing & Trading Platform – www.dhan.co
• Follow our Instagram page #LifeatRaise for a glimpse into our people and latest culture happenings.

If you are excited about building and scaling one of India's most ambitious consumer fintech ecosystems, we would love to hear from you.

Raise is an equal opportunity employer. We celebrate diversity and are committed to building an inclusive workplace.

Required Skills

AML Inspection suspicious transaction Compliance Internal Audit Compliance Monitoring surveillance activities