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 India's 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.