Manager

Group Company: NATIONAL STOCK EXCHANGE OF INDIA LIMITED

Designation: Manager (NSE_SEC_REGU_INSP_ONSITE_01_MGR)

Office Location:

Position description:

I. Purpose of the role: To undertake all activities to ensure that trading members/ stock brokers adhere to the regulatory norms by conducting their periodic monitoring, verification of member submissions, Inspection / Internal audit reports and regular follow up with members for the same.

II. Key Responsibilities

 

Sl No.	Key Responsibility	Descriptive Parameters
1.	On site monitoring & supervision of Members	1.       Member selection on Annual and Quarterly basis as per SEBI and Exchange defined parameters/guidelines. 2.      Updation of Inspection Checklist on periodic basis with latest regulatory developments. 3.      Updation of various inspection methodologies on periodic basis. 4.      Issuance of Consolidated Circular and updation of compliance calendar on periodic basis. 5.      Monitoring of various periodic submissions on timely basis as per regulatory guidelines and levy of penalty on the basis of prescribed norms 6.      Preparation of ROC Agenda/Board Agenda/ PID meeting submission/corporate presentation.
2.	Policy making & Handling Member Queries	1.    Handle activities related to policy making including issuance of circulars/guidelines to the market participants 2.   Co-ordinate with other MIIs and internal departments of organization to carry out compliance matters and SEBI directions 3.   Handle Member queries and provide clarification on various regulatory circulars to the members 4.   Handhold Members with consistent weak compliance levels
3.	IT Co-ordination	1.    Provide system enhancement and development request to Inspection IT 2.   Undertake testing of the requirement in the UAT environment. 3.   Ensure accuracy of release of the requirement in live environment. 4.   Coordinate with users at Regional level for quarterly BCP activities
4.	OtherActivities	1.    Undertake process improvements and update projects to Business Excellence Team 2.   Reply to queries asked by SEBI / queries of Members relating to compliance matters 3.   Tracking of maintenance of SEBI letters in Regulatory database

 

 

Sl No.	Key Responsibility	Descriptive Parameters
	Member Selection for Inspection	1.    Periodicidentification&selectionofMembersforInspection including identification of focus areas and member allocation 2.   Identification 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. Services you might be interested in One-Shot Campaign Reach out to ideal employees in one shot! The intelligent campaign for reaching out to the ideal audience to whom you can ask for help (guidance or referral). Know more