22 Aug 2022
Manager - Enforcement
SEBI, LODR, capital market, Regulatory Reporting, Finance, Stock Exchange, financial markets
- Preparation, verification, approval of cases for placing before relevant authority for deciding suitable disciplinary actions for violations observed during inspection
- Verification and approving the of Letter of observation (LO) prepared on the basis of the inspection reports received from Regional Offices.
- Identifying the critical cases and reporting the same for immediate enforcement action
- Verification and 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.
- Preparation of minutes of the meetings of Committees
- Verification of draft minutes of the Committee meetings and seeking approval from the Committee on the same
- Verification, approval of action letters to members for the disciplinary actions decided by the relevant authority
- 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
- Preparation, Verification, approval 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 members
- 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
- Preparation, Verification, approval of agenda and minutes
- Co-ordination with the Listing team and handling queries received from Companies
- Issue of Notices and other compliances
- Verification of Data as requested by SEBI or Internal Auditors from time to time.
- To ensure and report the compliance of providing the information sought by Regulators, Auditors.
- To contribute in the Automation and Development of MIS systems
- Verification of data for SEBI inspection and handling of queries raised by SEBI in the inspection.
- 5 to 7 years of Experience
- 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.
22 August 2022