Chief Manager - Membership Compliance - BFS

Chief Manager - Membership Compliance

New Membership Approvals :

- Oversee and guide team members to ensure that the process of collection and scrutiny of documents of new members is complied with

- Scrutinize and verify all documents collected by team to ensure compliance requirements are fulfilled

- Coordinate with HO and finalize agenda of Membership Approving Committee meetings

- Resolve queries raised by SEBI and co-ordinate with which are escalated by team members

- Overseeing Membership Compliance Activities

- Oversee the compliance requirements of members as per Exchange requirements & SEBI circulars

- Interacting with members for compliance related matters

- Oversee the periodic submissions made by members like net worth, annual returns, etc

- Oversee the application received from the members like advertisement, membership for additional segment, name change, etc

- Monitoring of the deposits of the members with the Exchange

- Oversee the approvals granted to members and ensure that these are as per Exchange guidelines and SEBI circulars

- Monitor the TAT adherence with respect to above activities

Process improvements :

- Monitor the overall membership development process and provide feedback to the function on the improvements that can enhance member experience

- Track recurring issues/problems and coordinate with IT to resolve them so as to ensure consistent error free delivery

- Track and scan for changes to the regulatory environment and propose suitable modifications in processes to align/comply with them.

People Management :

- Regular discussion with team members to resolve their queries, regulatory changes or policy level decisions.

- Discussion with team for improvement in process

- Knowledge sharing with the team members

- Track performance of colleagues to provide training wherever required