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19/08 Apurva S
Senior Consultant - Talent Management at Thema Corporate Servives LLP

Views:379 Applications:70 Rec. Actions:Recruiter Actions:12

Enforcement Manager/Senior Manager/Chief Manager - BFSI (5-15 yrs)

Mumbai/Delhi Job Code: 1142462

Enforcement: Manager/Sr. Manager/ Chief Manager


We have an opening with SEBI regulated company 'XA' under various designations - Manager, Sr. Manager, Chief Manager (5-15 yrs).

Please note : Most positions are for Mumbai location and one Chief Manager opening for Delhi location.

Job Role :

- We are essentially looking for individuals working in regulatory compliances (SEBI compliances) section of BFSI/Capital Markets/Broking companies.

- Preparation/verification/approval of cases for placing before relevant authority for deciding suitable disciplinary actions for violations observed during inspection.

- Verification and approval of LORA based on the analysis of the replies made by the Members to the letter of observation. Verification the action sheets based on LORA for placing before the Internal Committee.

- Verification of draft minutes of the Committee meetings and seeking approval from the Committee on the same.

- Verification of action letters for the disciplinary actions decided by the Committee Second Level Approver of penalties to be collected from various members to accounts team.

- Preparation/Verification/approval of show cause notices to members for critical observations. Coordination with members for reply and clarifications and escalations in case of non-submissions

- Verification of Analysis of replies of the member and placing before the relevant authority for appropriate decision.

- Analysis of review requests received from members Coordination with members for additional details and clarifications on the issues raised by the members. Coordination with legal team for the decision of the relevant authority challenged by members before SAT /Court.

- Attend to and resolve queries of members regarding the disciplinary actions decided by the Committee, Verification of data requests sent by SEBI /EOW. Enforcement with respect to matters pertaining to non-compliance reported by member with respect to market making.

- Preparation/Verification/approval of agenda and minutes. Co-ordination with the Listing team and handling queries received from Companies. Issue of Notices and other compliance.

- Verification of Data as requested by SEBI and/or Internal Auditors from time to time. To ensure and report the compliance of providing the information sought by Regulators/Auditors. To contribute in the Automation and Development of MIS systems. Verification of data for SEBI inspection and handling of queries raised by SEBI in the inspection.

Educational Qualifications Essential - CA/LLB. CS or MBA

Role Requirements :

- 5 to 7 years of Experience

- Knowledge of financial and capital markets

- Knowledge of statutory requirements applicable to the financial markets

- Experience of attending proceedings before Disciplinary Authority of Stock Exchanges, Securities Appellate Tribunal etc.

Women-friendly workplace:

Maternity and Paternity Benefits

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