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15 Nov 2022

KjGn

Chief Manager - Investigation

Mumbai

12-15 Years

investigation of alerts, MIS, SEBI, Internal Audit

Job Description

Position: Chief Manager - Investigation
Qualification: MBA, CA, CFA
Experience: 13 to 15 years
Location: Mumbai

Preliminary investigation of alerts, 
  • Oversee the whole process of investigation of alerts so as to ensure adherence to agreed quality standards, SLAs and TAT 
  • Verify the analysis of cases approved for detailed investigation by the Manager and take the final decision regarding sending the alert for detailed investigation. 
  • Issue advisory letters to trading members on a daily basis. 
  • Levy timely penalty to defaulting trading members. 
  • Oversee that data to regulators is being provided in a timely manner. 
  • Processing of pattern recognition models alerts. 
  • Detailed investigation of alerts & preparation of detailed reports to SEBI. 
  • Handling Internal audit, SEBI audit.
Detailed investigation of alerts
  • Verify and approve the investigation report to be sent to SEBI. 
  • Approve and issue the show cause notice in case the suspect is a member, after seeking the final approval from the AVP 
  • Prepare the agenda & present the case of a defaulting member to the Disciplinary Action Committee (DAC) and prepare minutes 
    for the DAC meetings.
Process, System improvements and people management
  • Generate ideas for process improvements, automations, new report formats to enhance efficiency. 
  • Review of process maps, projects in department, etc. 
  • Coordinate with other departments in NSE to implement the improvement initiatives. 
  • Coach and hand hold subordinates to increase their efficiency and ensure quality delivery. 
  • Review of existing alerts, pattern recognition models etc.
MIS & reporting
  • Verify weekly/ monthly MIS to be sent to senior management and external regulators.

15 November 2022

KjGn

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