Chief Manager

·         Role : Senior Manager - Enforcement

·         Location : BKC HO

The Primary responsibility of the role is to manage a team of 5-6 officers and to be responsible and ensure the timely initiation of disciplinary proceedings against the Trading Member and to ensure that the internal and external TAT is compiled for all the functions/duties performed under the Role. The role and responsibilities interalia include timely processing of all Inspection Reports within the specified TATs, ensure the correctness of the Letter of Observation (LO), Reply Analysis of the response received from Trading Members (LORA), the verification of the facts and figures mentioned in the Show Cause Notices, Verification of other internal process followed for placing the matter before the Disciplinary Committee/Internal Committee and approve all the same. The Role also requires the candidate to present its cases before the Internal Committee of Exchange or the Disciplinary Authority and to brief/Assist in briefing the internal and external Legal Counsels.

Some of the internal tasks include collation and finalization of data asked by SEBI, auditor and other department. Identify the database related issues and get the same fixed after co-ordinating with IT. Raising monthly IOM for collection of penalty, verification of draft minutes/orders of the Committee meetings, sending show cause notices to members for critical violations, issuance of action letters to members for the disciplinary actions decided by the relevant authority, Intimation of penalties to be collected from members to the accounts department of the Exchange

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