Assistant Manager - Investigation - CA

To investigate the alerts raised by surveillance system, analysis of pattern recognition models, respond to adhoc investigation/ data requests from regulators, verify the sanity of the trading data and ensure that trading members provide NSE with proper client information, intimation to the trading member, providing data to regulators, trading member, etc

Preliminary investigation of alerts :

1. Analyze the alerts generated by Surveillance department; Extract data from data warehouse for the analysis purpose.

2. Analyze the corporate data from listing database as a part of preliminary investigation of alerts.

3. Analyse the relevant data and fill the observation sheet for the alert in a pre-approved format.

4. Extract and analyze additional trading data for alerts placed under watch.

5. Update the relevant data pertaining to the alert analysis in the case management system for future reference and record; Propose closure/ detailed investigation of the alert.

6. Analyze and update the data from the pattern recognition models

7. Prepare and submit the MDR/MR, illiquid circular, etc.

8. Submit the data for online code modification to regulators; levy monthly penalty for client code modification.

9. Issue advice letter, show cause notices to members; prepare the agenda for meetings and draft minutes of the meetings and action letters

10. Resolve members- queries/ concerns and provide the relevant reply.

Detailed investigation of alerts :

1. Extract trading data for suspected member in addition to PAT data from data warehouse for detailed investigation of the case

2. Extract client data from UCI database and coordinate with trading members for KYC data for detailed investigation of the case

3. Interact with other departments/ BSE to obtain relevant trading data for the suspected client for detailed investigation of the case.

4. Draft the investigation report to be sent to SEBI.

5. Issue show cause notice in case the suspect is a member, preparation of agenda items, minutes action letter, etc

6. SEBI order processing, intimating members regarding fraud alerts, etc

7. FII/DII activity, data to other department, intra -day activity

8. Analysis and submission of reply to police complaints with respect to fraud

Adhoc data requests from external regulators & internal departments :

1. Prepare data reports to be submitted to regulators as per their requests.

2. Prepare reply to SEBI letters; Prepare detailed reports as per SEBI requests.

3. Analyze the GOI letters

4. Prepare the AML circulars.

5. Prepare reports/ collate data to cater to internal data requests from various departments.

Verification/ updation of client details :

1. Verify the completeness and correctness of the client data(PAN/ address etc.) provided by the member to NSE

2. Intimate members of non upload of PAN intraday as well as on T + 1 day

3. Update client details on request of trading members after required checks

4. Coordinate and monitor the data management activities like code change or name change of trading members.

5. Intimate member intra-day in case new client code is observed where member is restricted by SEBI not to take new clients.

6. Conduct the Intra-day checking of NPS and institutional categories uploaded by trading members for the trades done.

7. Validate NCFM students- names with Income tax website and providing data to NCFM department to facilitate issue of certificates.

8. Track any new account opening for suspicious clients and reporting to PAT team (Investigation).

Trade verification process :

1. Prepare the welcome letter for new registrations.

2. Monitor the process of trade verification letter return cases.

3. Resolve investor's/ member's queries pertaining to the registration process.

Education : CA Must (fresher can apply)