Senior Manager - Enforcement - BFSI

Senior Manager - Enforcement ( 8-14 Years exp. post qualification )

Essential Qualifications - CS/CA/MBA/LLB with an experience of 8-14 years in the BFSI Sector handling regulatory compliances.

- 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.

- Excellent analytical skills

- The Primary responsibility of the role is to manage a team of 5-6 officers and to be responsible and ensure the timely initiation of disciplinary proceedings against the Trading Member and to ensure that the internal and external TAT is compiled for all the functions/duties performed under the Role.

- The role and responsibilities include timely processing of all Inspection Reports within the specified TATs, ensure the correctness of the Letter of Observation (LO), Reply Analysis of the response received from Trading Members (LORA), the verification of the facts and figures mentioned in the Show Cause Notices, Verification of other internal process followed for placing the matter before the Disciplinary Committee/Internal Committee and approve all the same.

- The Role also requires the candidate to present its cases before the Internal Committee of Exchange or the Disciplinary Authority and to brief/Assist in briefing the internal and external Legal Counsels.

You will be Responsible for:

- Collation and finalization of data, Identify the database related issues and get the same fixed after co- ordinating with IT.

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

- Preparation of minutes of the meetings of Committees

- Show cause Notices to members for critical violations

- Member queries & Regulatory Compliance

- Interactions with internal and External Stake holders