Home | Jobs | Compliance & Secretarial | ISC - Arbitration

15 Nov 2022


ISC - Arbitration


5-6 Years

Company Secretary, SEBI, Arbitration Matters, Arbitration, risk management, team management

Job Description

Position: ISC - Arbitration
Qualification: MBA, CS
Experience: 4 to 6 years
Location: Mumbai

Job Description: 
  • 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. 
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. 
  • Compliance to SEBI,  Regulatory requirements, Stakeholder management and Monitoring and tracking the complaint and Arbitration resolution process conducted at Regional Offices. 
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 
  • To encourage team members to take new assignments and guide them

15 November 2022


Subscribe Now