15 Nov 2022
ISC - Arbitration
Company Secretary, SEBI, Arbitration Matters, Arbitration, risk management, team management
Qualification: MBA, CS
Experience: 4 to 6 years
- 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.
- To devise new policies, process for ease of functioning for the customers and users.
- 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.
- Compliance to SEBI, Regulatory requirements, Stakeholder management and Monitoring and tracking the complaint and Arbitration resolution process conducted at Regional Offices.
- 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
- 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.
- 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
- To encourage team members to take new assignments and guide them
15 November 2022