Surveillance Compliance

Role Summary: 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 escalate 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…