Manager- 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

Key Result Areas

• 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 Activites 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