1. Off-site monitoring & supervision of Members

1.Undertake various processes/activities relating to off-site supervision of Stock Brokers

2. Monitor and analyse various submissions made by Members with respect to laid down early warning parameters to ensure compliance with regulatory requirements

3. Detailed evaluation of risk parameters and identification of red flags

4. Ensure execution of compliance

5. Periodic follow up with Members

6. Provide periodic MIS

7. Draft and maintain SOPs/policy for respective activities

8. Extensive coordination with regional teams and other departments of exchange, wherever necessary.

9. Ensuring timely generation and sharing of alerts with ROs

2. Risk based Supervision

1.Review the financial data filed by the Members, using ratios and other methods of analysis

2. Evaluation and assessment of risks based on laid down parameters and weights

3. Identification of red flags and risk contributing factors

3. Data collation and analysis for daily reports

1.Collate and analyse data from other exchanges and internal departments for Member evaluation and analysis

2. Use of data analytics tool & data warehouse to scrutinise various data sets and generation of various reports

3. Early identification of Members with risk alerts and critical financial stress

4. Conduct of detail examination & reporting

4. Limited Purpose Inspections (LPI)

1. Analysis of cases and deciding the scope for conducting Limited Purpose Inspections.

2. Reviewing the Inspection Reports received from the Regional Offices.

3. Sharing of LPI details with SEBI wherever required.

4. Monitoring and follow-ups for the conduct of LPIs.

5. 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. Conduct periodic review meets with IT and HOD.

5. Co-ordinate with users at regional level for quarterly BCP activities.

6. Other Activities

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. Maintenance of records for SEBI Letters in regulatory database and provide the same to the respective region for further examination

4. Conduct Emails & SMS campaign for Investor awareness on the basis of UCC records of the member.

5. Submission of various reports to SEBI & agenda for NCL Board meetings

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