VP/AVP - Internal Audits Operations - BFS

- Handling ongoing SEBI and Broking compliances which also includes handlings inspections and half yearly audit.. Implementation of circulars and streamlining policies and procedures as per regulatory requirements

Periodic proposals to SEBI on new Surveillance measures

- Leading SEBI ISD inspection and internal audit.

- Development of new alerts/ SEBI directives. Enhancement of existing alerts & process.

- Overseeing of Surveillance measures viz ASM, GSM, Price band review, rumour verifications.

- Overseeing drafting of Show causes (SCN) to trading members / Liasoning with legal team for SAT/court matters.

- Responsible for PMLA compliance, PO reporting & STR's.

- Regular presentations to SEBI / MD /Regulatory committees. SEBI monthly MIS monitoring.

- Exchange SPOC for SEBI IMSS (integrated market Surveillance system).

- Coordination with SEBI/BSE/Depositories w.r.t Surveillance & Investigation matters.

- Periodic Resource planning & hiring.