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24 Nov 2022

Xvxh

Chief Manager - ISC/Arbitration

Delhi

12-15 Years

SLA Management, Arbitration, investigation of alerts, SEBI, Investors Relations

Job Description

Position: Chief Manager - ISC/Arbitration
Qualification: MBA , CS
Experience: 13 to 15 years
Location: Delhi

Operational
  • Monitoring of the complaint resolution process held at the Regions
  • Tracking of implementation process for GRC & Arbitration matters
  • Resolving queries received from regions
  • To facilitate the co-ordination with other departments of the Exchange viz Legal, F&A, Investigation, MSM, NCL, Listing etc.
  • To liaison with Investor and trading member for resolution of their queries pertaining to the resolution, implementation process.
  • To manage the process documentation and updation of the same
  • Empanelment of Arbitrators, GRC members
  • To evaluate the performance of Arbitrators and GRC members
  • To arrange training programs for Arbitrators / GRC members / ISC staff
  • To review the existing policies and revise the same, whenever required.
Stakeholder Management
  • To manage the Regulators viz SEBI
  • To resolve the queries and emails received from the regulators in a timely manner.
  • To co-ordinate with other Exchanges, regularly have meetings to discuss the issues on hand and any future requirements.
  • To engage with trading members, investors for faster resolution.
Control & Risk Management
  • To track the resolution process through MIS
  • To ensure that there are no deviations from the SLA set
  • To manage the Internal Audit for the Head Office and data requirements for the Regions
  • To manage the SEBI Inspection of the Head Office and Regions
  • To ensure compliance with the Regulatory requirements across Regions and HO
  • To ensure timely reports are submitted to the Regulators viz MDR, MAR, STR etc.
  • To ensure that the Agenda, Minutes for the Committee & Board are timely complied with.
  • To ensure the suggestion, directions of the Committee & Board are implemented.
  • Tracking of member for breaching the norms, qualifying for SOP trigger
Development requirement
  • Handling of development requirement for all the applications used by ISC, Arbitration teams
  • Tracking of incidents reported by the external, internal users
  • Preparing of Business requirement and UAT testing of the requirements
  • Co-ordinating with Technical team and Users
  • Evaluating the development requirements, projects submitted by regions.
Team Management
  • To ensure that equal opportunity is given to the team members to showcase their talent
  • To allocate jobs in accordance to the strength of the team member
  • To ensure that there is harmony and teamwork prevails

Preferred Employers would be the big players of the securities markets like Kotak Securities, ICICI Securities etc and the Large Broking Houses.

24 November 2022

Xvxh

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