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 have started with our first step by launching an Investment & Trading platform – Dhan (
www.dhan.co) in November 2021.
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 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.
Location: Goregaon West, Mumbai
Why Join Raise?
Were a certified Great Place to Work, and it shows in everything we do - from how we collaborate to how we celebrate wins. Our culture is built on growth, ownership, and mutual respect. At Raise, you’ll find a flat hierarchy, open conversations, and a team that values passion, humility, and speed over titles and bureaucracy.
Our Values & Culture
We look for people who:
- Are obsessed with customer satisfaction.
- Respect their work, teammates, and users.
- Value speed, humility, and thoughtful action.
- Prefer quality over quantity.
- Are hands-on regardless of role or title.
- Embrace ownership, discipline, and an entrepreneurial spirit.
- Believe in less talk, more execution.
- Are passionate about the work they do.
Raise is an equal opportunity employer. We celebrate diversity and are committed to building an inclusive workplace.
About Raise Financial Services
We are building technology led financial products and infrastructure for India’s top 25Mn+ financially aware and literate users. Our product lines span investments, financing, insurance, payments, and wealth services. We will offer consumer products & services that cater to these users, and will offer the same technology & infrastructure to partners in the startup ecosystem willing to take the experience to everyone in India. Our focus is on 3 core aspects - build great products, deliver awesome experiences and provide exceptional customer services to our users.
Explore more:
- Company Website: www.raiseholding.co
- Investment Platform: www.dhan.co
