Senior Manager

·         Role : Senior Manager – Inspection ( System_Cyber)

·         Location : Mumbai

To Direct/ Support and Manage team members and otherwise contribute in ensuring that trading members/stock brokers adhere to the regulatory norms by conducting offsite inspection, verification of member submission of required documents and audit reports and follows up with members for the same. Monitor and Adhere to TATs as defined in SLAs. Conduct training programs for TMs/APs/Internal Auditors and Investors. To ensure the adherence of member compliance to regulatory norms by overseeing the inspection process, recommending best practices to members, analysing trends/ patterns in non-compliance to find the root cause of the problem and suggesting process improvements to enhance efficiency. To monitor the committee meetings to penalize non-compliant members and handle member/ regulator queries.

1)       Team Management:

·         Provide support in all activities of the team.

·         Suggest best practices w.r.t. training and development of the team and processes.

2)       Responsibilities:

- Analyse System, Cyber and VAPT audit reports submitted by TM.

- Review MIS for System and Cyber Audit and VAPT audit reports.

- Resolve queries related to System, Cyber and VAPT Audit reports and proposed disciplinary action for delay, non-submission and Non-compliances.

- Draft/review BRS for system enhancement & development and participate in UAT/final testing.

- Coordinate with other exchanges/SEBI on forming of SOP’s, issuance of guidelines.

- Conduct inspections of trading members and preparation of Inspection of report.

- Prepare formal notes for approval/Agenda Item for Committee Meetings of Exchange.

- Preparation/drafting of Minutes of Committee Meetings

- Ensuring to compliance with SEBI guidelines of System, Cyber, VAPT and Cyber incident

- Conducting training session for Auditors/Trading members for various regulatory submission

- Conduct quality checks and ensure accuracy of reports submitted by the Trading Members.

- Keep track of Cyber Incident reported by Trading members and necessary action taken in accordance with SOP.

Internal Processes:

·         Adherence to the calendar/schedule for conducting of inspections on time = 100%

·         Adherence to defined process and TAT to meet the defined SLAs= 100%

Learning and growth measures:

·         Number of hours of training annually >=40

·         Internal Stakeholders - Accounts and Finance, Administration and HR and Committee

·         External Stakeholders - Trading Members of NSE

·         CA with 9 to 12 years of experience post qualification.

·         Knowledge of financial and capital markets and relevant experience in financial services

·         Knowledge of statutory requirements applicable to the financial markets