Manager - Investigation Department - Financial Services

Qualification - CA/MBA (Full Time)Mandatory

Purpose of the role :

To coordinate and oversee the process of investigation of alerts, response to adhoc requests through scrutiny and approval of documents prepared by AMs, so as to adhere to agreed SLAs, TATs and quality standards, data to regulators, levy of penalty - trading members.

Key Responsibility:

Preliminary investigation of alerts

- Verify the analysis sheet pertaining to investigation of alerts that are prepared by AM.

- Provide additional inputs to improve the quality of analysis.

- Take the final decision regarding closure of an alert.

- Approve AM's decision regarding detailed investigation of the alert.

- Monitor and analyse data recorded from the pattern recognition models.

- Monitor the submission of data to regulators, trading members.

- Monitoring of submission of Client Code Modification (CCM) data to regulators and levy of monthly penalty for CCM.

- Verify the PAT reports.

- Review the alerts under watch and the pattern recognition models, etc 10. Verify the advice, show cause, agenda items for committees, etc Detailed investigation of alerts & preparation of detailed reports to SEBI. 

Investigation operations :

- Verify SEBI orders processing/Issuance of circulars etc.

- Verify NOC to various department within company w.r.t SEBI debarment.

- Verify SEBI data requests & SEBI alerts/complaints.

- Verify client code modification waiver minutes/submission to regulators

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

- Keep self-updated on the recent developments/SEBI circulars etc.

- Verification and finalization of BR in consultation with seniors.

- Updation of data to website

- MIS & reporting - Verify weekly/ monthly MIS to be sent to senior management and external regulators.