15 Nov 2022
Manager - Investigation
Client Code Modification, SEBI, Chartered Accountant, MIS, investigation of alerts
Qualification: CA, MBA
Experience: 5 to 8 years
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
- 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
- Verify weekly, monthly MIS to be sent to senior management and external regulators.
15 November 2022