Manager

LLB/LLM with 5-8 years of stockbroking compliance experience.

•        Role : Manager- Enforcement

•        Location : BKC HO

A homegrown brand with a global vision, NSE is counted as one of the world’s largest exchanges and a catalyst for driving India’s economic growth. NSE was the first exchange in India to implement electronic or screen-based trading which began its operations in 1994; a pioneer in technology which ensures the reliability and performance of its systems through a culture of innovation and investment in technology. NSE operates a market ecosystem to bring in transparency & efficiency.

Drafting documents viz. show-cause notice/letter of observation/order/agenda/one pager/personal hearing letter/action letter/action sheet, Analysis of reply to show-cause notice/letter of observation/review request, engaging in delisting –enforcement activities, preparing and fi ling of STR data, preparing data - internal data/SEBI data/internal audit data/NCL data/listing data, resolving queries of Trading Members regarding disciplinary actions, coordinating with the legal team on litigations and other miscellaneous works.

1.        Cases to be placed before the Internal Committee/MCSGFC for initiating disciplinary against the Trading Members for violations observed during inspection:

• Drafting the letter of observation/show-cause notice based on the inspection reports received from Inspection Department
• Coordinating with the Inspection Department in case of discrepancies/clarifications in inspection reports
• Analyzing the replies to the letter of observation/show-cause notice
• Drafting the action sheets based on analysis of the reply to the letter of observation/show-cause notice for placing the Internal Committee.
• Drafting the agenda/one pager/minutes
• Drafting the action letter/orders intimating the decision of the MCSGFC to the Trading Members.

2.        Review applications/appeals filed by Trading Members:

• Analyzing the review request received from Trading Members
• Coordinating with Trading Members for additional details/clarifications
• Coordinating with the legal team on court cases filed by Trading Members challenging the decisions of the MCSGFC

3.        Member queries and regulatory compliance:

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.