Manager- Regulatory I (Enforcement, Membership and Internal Audit)

Job Purpose:

• To have an overview of SEBI Inspection/IPFT function related processes and activities
• Closely monitoring Membership related activities from admission to surrender.
• Executing Internal Audit and related activities of the Exchange
• Meticulous in getting the Annual SEBI Inspection completed

Job Responsibilities:

• Agenda and related preparation for Board Committee meetings.
• Execution of activities pertaining to SEBI Inspection, coordination with SEBI team, understanding the questionnaire, getting in touch with relevant teams for responses and ensuring comprehensive and timely response to the Regulator.
• Strengthen Regulatory compliance - Ensuring Audit readiness & timely closure of SEBI Exchange Inspection (Preceding Activates of SEBI Inspection)
• Coordinate the internal audit programme acting as liaison between Internal Audit and Leadership Team to ensure comprehensive audit coverage, meeting of timelines, recording of and monitoring progress.
• Approvals for conducting awareness programmes (IEP & IAP), review of FaMC notes, Correspondence with SEBI on requirements under IPFT,Oversight of IPFT activity agendas, Oversight of IPFT, Monitoring IPF related compliances.
• Submission of compliance report to SEBI on Inspection observations, Discussion with departments and SEBI for finalization of response to inspection observations before submission to SEBI.
• Ad hoc responsibilities in related areas assigned from time to time

Skills Required:

• Effective interpersonal verbal and written communication skills
• Good analytical, judgmental and interpretative skills
• Data gathering and interpretation skills

Functional Competencies required:

• Knowledge and understanding of Exchange ecosystem and operations
• Ability to extract computerized and manual data.
• Ability to perform accounting/ audit research, analyze data and summarize findings in a professional written form.
• Understanding of current accounting and audit principles, policies and internal controls.

Behavioral Skills required:

• Attention to detail
• Adaptability & Resilience
• Team Collaboration
• Planning & Organizing
• Proactive & result oriented
• Highly Process Driven