Manager - Quality Control

1. Quality Control of Inspection

1. To conduct quality check to ascertain the uniformity in process being followed by teams at RO

2. To ensure that teams are selecting samples as per defined process

3. To ensure that verification is done as per laid down methodology of inspection.

4. To verify on the process of preserving records / data obtained from members for inspection along with working files.

5. Report the finding with Regional heads and Chief regulatory Officer along with the recommendations

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. 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.

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

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