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Complaints Manager

Complaints Manager

Evoke HR Solutions Pvt. Ltd.Mumbai, India
3 days ago
Job description

Role : Chief Manager– Compliance

EXP : : 13+Years

Location - Mumbai

1) Regulatory Compliance :

  • Handling New Member onboarding process, undertaking due diligence process and grant of approvals.
  • Effectively monitor various compliance requirements of Members and oversee the regulatory filings by Members. Undertake periodic review of various compliance & operational policies and initiate changes in consultation with relevant stakeholders.
  • Co-ordination with SEBI and other MIIs for various policy level initiatives and reviews as well as handling any queries / data requirements etc
  • Issue / Query resolution on priority basis and avoiding similar future occurrences
  • Handling applications of change in control / business transfer / merger BMC category change & facilitate all necessary steps for the closure.
  • To monitor the continued compliance requirements of Members
  • Continuous interaction with Regional Offices w.r.t Compliance procedures and providing necessary clarifications & guidance

2) System development (Internal and with SEBI)

  • Ensure continuous improvement in compliances procedures and processed through adequate system development System development co-ordination and implementation for new requirements
  • Participation in annual technology requirements planning & engage with the IT team for prioritization of the projects across HO & ROs.
  • Finalize Business Requirement Specifications for various technology projects.
  • Ensure user acceptance testing and successful implementation.
  • Suggest new system development initiatives related to Customer benefit, process efficiency across functions, enhanced compliance, cost / time saving, etc.
  • Co-ordination with SEBI / Other Exchanges / DPs / CCs for development of new regulatory interface for various process including system validations.
  • Effective engagement with Tech teams and SEBI for Parivartan and UII initiatives and oversee implementation.

    • 3) Authorise Person related activities :

  • Process application pertaining to registration, cancellation, change in address, change in status and change in constitution of Authorised persons.
  • Putting in mechanisms / framework for strengthening Authorised Person (AP) monitoring and supervision including identification of APs with material concerns and taking actions in collaboration with ISC / Inspection.
  • Updation of membership database w.r.t AP information

    • 4) Monitoring of Mandatory submissions

  • Monitoring of Annual return submissions by Members
  • Computation of Securities Transaction Price Index data & submission to SEBI on quarterly basis
  • Monitor Half yearly / annual Networth submissions of the Members and initiate action in case of non-compliance,
  • Oversee daily submission of Margin trading facility (MTF) and Sign-off
  • Monitoring of quarterly Artificial Intelligence / Machine Learning (AI / ML) submissions and reporting to SEBI.

    • 5) Other compliance activities :

  • Monitor and implement Orders passed against the members by SEBI / SAT etc.
  • Provide support to ROs for scrutinizing Advertisements to be issued by the members to ensure compliance with all regulatory norms.
  • Issue Status Report and Membership Certificate based on Member request
  • Process Members request for trade through other members
  • Updation of membership database for change in status, details of transfer of membership and shareholding / director details.
  • Handling Member expulsion activities including initiating requests to various departments, Market communication and intimation to SEBI and other MIIs.
  • Monitoring Access control for various database
  • Provide data for internal audit, SEBI audits, statutory audit etc
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    Manager • Mumbai, India