Assistant Manager - Compliance Surveillance

About Us: Paytm Money Limited is a SEBI registered Stockbroker and Depository Participant that offers

services related to Equity, Derivatives trading, Research Analyst & Distribution of financial products. It is a

fully owned subsidiary of One 97 Communications Limited, a listed entity in NSE and BSE. Paytm is

India’s largest digital payment app which makes it secure and seamless to pay using UPI, make bill

payments, recharge mobiles, DTH, data card & Metro Card etc anywhere in India.

● Monitoring Surveillance activities – trade as well as Name Screening.

● Assist in Compliance regulatory change implementation through a sophisticated Compliance

Tool.

● Conduct regular compliance audits and assessments to identify potential risks and areas for

improvement within surveillance function.

● Prepare and submit regulatory filings, reports, and documentation as required by SEBI.

● Collaborate with internal teams to gather necessary information for compliance reviews and

audits.

● Maintain accurate records of compliance activities and findings.

● Support the senior compliance team in conducting investigations into compliance breaches and

implementing corrective actions.

● Bachelor’s degree in Commerce, Finance, Business Administration, Law, or a related field with

minimum 4-5 years of experience

● Familiarity with SEBI regulations and compliance requirements.

● Strong analytical skills and attention to detail.

● Excellent written and verbal communication skills.

● Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).

Preferred Skills:

● Previous experience in compliance and /or Surveillance Function.

● Knowledge of financial markets and investment products.

Reporting:

The incumbent will be reporting to SM - Compliance