Deputy Manager
NSE
1 - 3 years
Chennai
Posted: 02/10/2025
Job Description
Group Company: National Stock Exchange Of India Limited
Designation: Deputy Manager
Office Location: Murugappa Road, Kotturpuram Chennai (Southern Regional Office)
Position description:
I. Purpose of the role:
To ensure that trading members/ stock brokers adhere to the regulatory norms by conducting onsite inspection or offsite supervision, verification of member submission of required documents and audit reports and follow up with members for the same. Adhere to TATs as defined in SLAs. Conduct training programs for TMs/APs/Internal Auditors and Investors.
II. Key Responsibilities (This should reflect the process/sub-process in which the position plays a role and specifically indicate the actions to be taken. Please include a maximum of 8 key responsibilities)
SN | Key Responsibility | Descriptive Parameters |
1. | Onsite & Offsite inspection/ compliance visits | 1. Conduct inspection on members’ site as per the inspection calendar for the quarter following a pre-approved checklist or conduct inspection on members offsite based on alerts received. 2. Continuous monitoring of the data submitted by the trading member to the Exchange. 3. Draft the inspection report for the member. 4. Expand the scope of inspection beyond the pre-approved checklist after consulting manager. 5. Prepare the preliminary observation sheet for the inspection and schedule the closure meeting between the member and manager. 6. Verify the inspection report prepared by the maker. 7. Conduct compliance visits for new members/ brokers to acquaint them to the compliance requirements and inspection process. 8. Escalate matters like non co-operation of member/delay in furnishing data to the respective Manager. |
2. | Data collation and analysis for daily reports and adhoc requests | 1. Collate data to cater to the request raised by external regulators like SEBI and various internal departments within NSE. 2. Collate and analyse data from other exchanges and internal NSE departments for reports. |
3. | Conduct training/ awareness programs | 1. Organize/Coordinate/conduct training programs for TMs/ APs 2. Organize/ Coordinate/ Conduct investor awareness programs. |
Note: Additional responsibilities may be added from time to time depending on organisational requirements.
III. Key attributes of the role
Revenue (range) - | Direct/Indirect - None | Range – 0 |
Budget (range) - | Approver/User - None | Range - 0 |
Number of people managed: | 0 |
|
IV. Performance Measures
Serial no. | Performance Measures | Metrics |
1. | Financial measures | · Not applicable |
2. | Customer measures | · Not applicable |
3. | Internal Processes measures | · Adherence to the calendar/schedule for conducting inspections on time = 100% · The National Stock Exchange is India’s largest and most prominent financial market. It introduced a fully automated screen-based electronic trading system, bringing efficiency and transparency to capital markets. NSE operates a wide range of asset classes including equity, debt, and derivatives. Boost your chances with professional resume services! Get expert-reviewed, ATS-optimized resumes tailored for your experience level. Start your journey now. |