Senior Manager - Inspection & Enforcement
Description :
- Calculation of monetary penalty to be levied to members for non/late submission.
- Updating sample criteria, checklist and methodology for half year Internal Audit.
- Preparation of MIS reports.
- Recovery of Penalty levied.
- Member profiling based on Enhanced Supervision submission.
- Monitoring the Alerts generated from data submitted to the Exchange / Across Exchanges.
- Post Inspection related work i.e. Inspection Report checking, Letter of observation, analysis reply received from member and final action taken letter.
- Analysis of Internal Audit reports submitted by the auditors/members.
- Initiate appropriate action against member i.e. restriction of new client registration or disablement of trading terminal for non- submission of data relating to Enhanced Supervision.
- Analysis of Early Warning alerts received from other Exchanges and Depositories and take necessary action, if required
- Initiate alerts of Early Warning related to Exchange and take necessary action.
- Selection of members for inspection based on Enhanced Supervision and Early Warning signals.
- System development / upgradation relating to Enhanced Supervision and Early Warning signals.
- Coordination including sharing of data with Internal Departments, Members, Internal Auditors, SEBI and other Exchanges.
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