Senior Manager - Inspection & Compliance

Role Title - Senior Manager

Department - Inspection & Compliance

Location - Chennai

Exp - 8-11 yrs

Job Profile

1. Verify and allocate team members for inspection visits.

2. Approve letters to be sent to members stating the inspection schedule

3. Assign team members to carry out on-site inspections as per schedule

4. Attend the first and last day of the on-site inspection for new and high risk members

5. Sensitize the AM of areas to be focussed on and recommend practices that should be followed to the members

6. Verify the inspection report for the member drafted by the AM before passing it on to central enforcement team

7. Verify reports/data prepared by team members for requests raised by external regulators like SEBI/ various internal departments within NSE

8. Reply to queries asked by SEBI regarding member

9. Reply to queries raised by Trading Member wrto compliance process or issues.

11. Schedule programs to provide training for the members

12. Approve the advertisement application/requests received from member

13. Approval of Membership applications wrto Shareholding and directors

14. Handholding the team members on the inspection related processes and any new developments/changes

15. To handle the role of NSCCL Controls to ensure that the exposures are given based on the collaterals provided

16. To monitor the Monthly/Quarterly Bin reconciliation of the Collaterals

17. To handle the role of Checker in Finance & Accounts