Deputy Manager
NSE
1 - 2 years
Mumbai
Posted: 18/06/2025
Job Description
Group Company: National Stock Exchange Of India Limited
Designation: Deputy Manager
Office Location:
Position description:
I. Purpose of the role:
- To ensure continuous adherence to regulatory norms for new and continuing membership compliance processes
- To ensure continuous adherence to TATs w.r.t overall activities performed within the Department.
- To initiate and ensure smooth and timely conduct of various internal and SEBI mandated committee meetings.
- To support handle member queries within TAT defined, track delays, analyse trends/ patterns in member queries/ non-compliance areas. Escalate the exceptions and recommend operational solutions.
- To maintain operational level relationship with regulators and internal interfaces including Regional Office
II. Key Responsibilities
S.N. | Key Responsibility | Descriptive Parameters |
1. | Regulatory Compliance | · Effectively monitor various compliance requirements of Members and oversee the regulatory filings by Members. · Undertake periodic review of various compliance & operational policies and initiate changes in consultation with relevant stakeholders. · Processing of Member applications relating to change in status & Constitution · Handling business transfer/merger requests of Members and facilitating all necessary steps/activities necessary for the closure. · Handling SEBI/Member enquiries & ensuring timely resolution. · Updation of membership database for change in status, details of transfer of membership details. · To monitor the continued compliances whether completed on time · Continuous interaction with Regional Offices w.r.t Compliance procedures and providing necessary clarifications · Updation of membership database for change in status, details of transfer of membership and shareholding/director details. · To monitor the continued compliances whether completed on time · Continuous interaction with Regional Offices w.r.t Compliance procedures and providing necessary clarifications |
2. | System development (Internal and with SEBI) | · Ensure continuous improvement in compliances procedures and processed through adequate system development. System development co-ordination and implementation for new requirements. · Co-ordination with Technology team for system development for approach finalization. · Ensure user acceptance testing and successful implementation. · Participation in annual technology requirements planning. · Suggest new system development initiatives related to Customer benefit, process efficiency across functions, enhanced compliance, cost/time saving, etc. |
3. | Monitoring of Mandatory submissions | · Monitoring of Half yearly/annual Net-worth submission of the Members and initiate action in case of non-compliance. · Computation of Securities Transaction Price Index data & submission to SEBI on quarterly basis |
4. | Other compliance activities
| · Monitoring periodic submissions and compliances of members and taking disciplinary action in case of non-compliance · Overseeing the Sign-off for Margin Trading & Client Funding activity respectively · Issue Status Report & Membership Certificate upon Member request · On-boarding and cancellation of Authorised Persons, Activity Processing Fees, Preparation of monthly/quarterly data, reports, MIS as applicable |
About Company
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.
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