Senior Manager Inspection and Enforcement (Enhanced Supervision)

Mumbai - India

Monthly Salary: Not Disclosed

Posted on: 10 hours ago

Vacancies: 1 Vacancy

Job Summary

Monitoring the submission made by the member for data relating to Enhanced supervision circular by SEBI and Exchange.
Calculation of monetary penalty to be levied to members for non/late submission.
Updating sample criteria checklist and methodology for half year Internal Audit.
Preparation of MIS reports.
Recovery of Penalty levied.
Member profiling based on Enhanced Supervision submission.
Monitoring the Alerts generated from data submitted to the Exchange / Across Exchanges.
Post Inspection related work i.e. Inspection Report checking Letter of observation analysis reply received from member and final action taken letter.
Analysis of Internal Audit reports submitted by the auditors/members.
Initiate appropriate action against member i.e. restriction of new client registration or disablement of trading terminal for non- submission of data relating to Enhanced Supervision.
Analysis of Early Warning alerts received from other Exchanges and Depositories and take necessary action if required
Initiate alerts of Early Warning related to Exchange and take necessary action.
Selection of members for inspection based on Enhanced Supervision and Early Warning signals.
System development / upgradation relating to Enhanced Supervision and Early Warning signals.
Coordination including sharing of data with Internal Departments Members Internal Auditors SEBI and other Exchanges.

Required Skills:

moniteringcapital marketinspectionenforcementinternal audits

Monitoring the submission made by the member for data relating to Enhanced supervision circular by SEBI and Exchange. Calculation of monetary penalty to be levied to members for non/late submission. Updating sample criteria checklist and methodology for half year Internal Audit. Preparation ...