23 Aug 2022
Chief Manager- Enforcement
financial markets, capital market, BFSI, Analytical Skills, SEBI, Finance
Qualifications : CS, CA, MBA, LLB
Experience: 12-15 years
- Collation and finalization of data, Identify the database related issues and get the same fixed after co-ordinating with IT. Raisig monthly IOM for collection of penalty,
- Verification and review of data as requested by SEBI and/or Internal Auditors from time to time.
- To contribute in the Automation and Development of MIS generation systems
- Verification & review of penalty file for inspection cases and raise monthly IOM to accounts for collection of penalty
- Preparation of cases for placing before relevant authority for deciding suitable disciplinary actions for violations observed during inspection
- Approval of LORA based on the analysis of the replies made by the Members to the letter of observation.
- Verification the action sheets based on LORA for placing before the Internal Committee.
- Presenting the cases before the Internal Committee and handling the queries of the IC with respect to the same.
- Identification of cases to be placed before MCSGFC and verification of Agenda and presentations (one pager details)
- Presenting the cases before the MCSGFC and handling the queries of the MCSGFC with respect to the same.
- Co-ordination with inspection, member compliance, ISC on the MCSGFC actionable and placing the updates before MCSGFC
- Verification of draft minutes, orders of the Committee meetings
- Verification of action letters for the disciplinary actions decided by the Committee
- Second Level Approver of penalties to be collected from various members to accounts team
- Verification of show cause notices to members for critical observations
- Coordination with members for reply and clarifications and escalations in case of non-submissions
- Verification of Analysis of replies of the member and placing before the relevant authority for appropriate decision.
- Analysis of review requests received from members
- Coordination with members for additional details and clarifications on the issues raised by the member
- Coordination with legal team for the decision of the relevant authority challenged by members before SAT, Court
- Attend to and resolve queries of members regarding the disciplinary actions decided by the Committee
- Verification of data requests sent by SEBI, EOW Enforcement with respect to matters pertaining to non-compliance reported by member with respect to market making
- To effectively co-ordianate with Inspection/Member Compliance and other regulatory teams to ensure that the functions of enforcement are completed within the specified TATs
- To interact and attend meetings with SEBI/MIIs and other regualtorys whenever required.
- Knowledge of financial and capital markets
- Knowledge of statutory requirements applicable to the financial markets
- Experience of attending proceedings before Disciplinary Authority of Stock Exchanges, Securities Appellate Tribunal etc.
- Excellent analytical skills
- Strong interpersonal skills
- Presentation skills
23 August 2022