Manager

1.        Internal Audit:

• Preparation of Audit checklist & issuance of half yearly circulars for Internal Audit report submission.
• Analysis of Internal Audit Report.
• Preparation of Agenda for placing cases before relevant authority for deciding suitable disciplinary actions for violations observed in Internal Audit Report.
• Preparation of Minutes of the committee meeting
• Issuance of action letters to members for the disciplinary actions decided by the relevant authority
• Sending IOMs to the accounts department for debiting the penalty from the members.
• Handling member queries w.r.t Internal Audit.

2.        Data collation and analysis for daily reports :

• Collate and analyse data from other exchanges and internal NSE departments for Member evaluation and analysis
• Use of data analytics tool & data warehouse to scrutinise various data sets and generation of various reports
• Early identification of Members with risk alerts and critical financial stress
• Conduct of detail examination & reporting

3.        Limited Purpose Inspections (LPI):

• Analysis of cases and deciding the scope for conducting Limited Purpose Inspections.
• Reviewing the Inspection Reports received from the Regional Offices.
• Sharing of LPI details with SEBI wherever required.
• Monitoring and follow-ups for the conduct of LPIs.

4.        IT Co-ordination:

• Provide system enhancement and development request to Inspection IT.
• Undertake testing of the requirement in the UAT environment.
• Ensure accuracy of release of the requirement in live environment.
• Conduct periodic review meets with IT and HOD.
• Co-ordinate with users at regional level for quarterly BCP activities.

5.        Other Activities:

• Undertake process improvements and update projects to Business Excellence Team.
• Reply to queries asked by SEBI / queries of Members relating to compliance matters.
• Maintenance of records for SEBI Letters in regulatory database and provide the same to the respective region for further examination
• Conduct Emails & SMS campaign for Investor awareness on the basis of UCC records of the member.
• Submission of various reports to SEBI & agenda for NSE/NCL Board meetings

Note:    Additional responsibilities may be added from time to time depending on organizational requirements.