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Complaints Manager

Evoke HR Solutions Pvt. Ltd.India

6 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 • India

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