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15 Nov 2022

IRNO

Manager - Investigation

Mumbai

6-8 Years

Client Code Modification, SEBI, Chartered Accountant, MIS, investigation of alerts

Job Description

Position: Manager - Investigation
Qualification: CA, MBA
Experience: 5 to 8 years
Location: Mumbai


Preliminary investigation of alerts 
  •  Verify the analysis sheet pertaining to investigation of alerts that are prepared by AM. 
  • Provide additional inputs to improve the quality of analysis. 
  • Take the final decision regarding closure of an alert. 
  • Approve AM’s decision regarding detailed investigation of the alert. 
  • Monitor and analyse data recorded from the pattern recognition models. 
  • Monitor the submission of data to regulators, trading members. 
  • Monitoring of submission of Client Code Modification (CCM) data to regulators and levy of monthly penalty for CCM. 
  • Verify the PAT reports. 
  • Review the alerts under watch and the pattern recognition models, etc 
  • Verify the advice, show cause, agenda items for committees, etc 
  • Detailed investigation of alerts & preparation of detailed reports to
Investigation operations SEBI. 
  • Verify SEBI orders processing, Issuance of circulars etc. 
  • Verify NOC to various department w.r.t SEBI debarment.
  • Verify SEBI data requests & SEBI alerts, complaints. 
  • Verify client code modification waiver minutes, submission to regulators 
  • Verify Issue advice letter, show cause notices to members; 
  • Prepare the agenda for meetings and draft minutes of the meetings and action letters 
  • Keep self-updated on the recent developments, SEBI circulars etc. 
  • Verification and finalization of BR in consultation with seniors. 
  • Updation of data to website 
MIS & reporting 
  • Verify weekly, monthly MIS to be sent to senior management and external regulators.

15 November 2022

IRNO

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