Senior Manager PIT

Role & responsibilities

1. Thorough knowledge of SEBI (Prevention of Insider Trading) Regulations and Circulars/notifications issued thereunder from time to time
2. Drafting the Policies and FAQs for the Prevention of Insider Trading both for a listed Company and a SEBI registered intermediary
3. Defining and disseminating the various processes as may be required to give effect to the provisions of the Policies
4. Making changes/modifications in the policies from time to time as required and disseminating the same to all employees
5. Owning and maintaining/operating the System which is used to provide approvals/rejections to employees for trading in the securities market. Undertaking the changes/modifications in the system as required in coordination with the Tech team
6. Regular reviews and audits to ascertain if the systems/processes are working as anticipated
7. Obtaining the Annual Declaration from all the employees and maintaining the records of the same
8. Attending to various queries as may be raised by the employees about Employee trading
9. Analyzing the trades of the employees to identify the trades that violate the policies and taking corrective measures
10. Verifying and analyzing the information/details submitted by the employees
11. Managing day-to-day process requirements and managing employee conflict.
12. Working closely with the Line of Business (LOB) to understand the process and manage LOB process expectations.
13. Liaising with upper management, preparing and presenting monthly reviews to senior management.
14. Placing the changes in policies and instances of violations before the Committee / Senior Management as the case may be