Job Description

Qualification Profile Preferably CFA / CA / CS / Post Graduate. Other qualification with relevant experience Experience 17-20 years relevant experience Job Responsibilities Selection of Members for Inspection Timely Completion of all on-site Inspections as per selection list and continuous improvement in the quality, coverage and depth of inspections of members Tracking and completion of post-inspection enforcements and regulatory enforcements related to non-compliances referred by member supervision verticals Compliance with Regulatory requirements Improving engagement at internal stakeholder level Carrying out Member s and Member Auditors training Interacting with Regulator and prompt response to their queries Offsite Supervision of members and enabling transition to a framework for offsite, real-time, alert-based due diligence on members Submission of compliance reports / certificates to management and / or CRO with exceptions, if any, and action plans for remediation Coordinate and provide relevant information and clarifications to the Auditors and Inspections carried out by the Regulators. Ensure compliance with applicable Regulatory requirements, including those specifiedin SECC Reg., 2018 and other applicable Acts/Regulations, Circulars, guidelines. Ensure Implementation of the SEBI Circulars and in case the same cannot be implemented regulator and CRO s office should be informed. Ensure implementation of risk management framework in day-to-day operations Inform any mishap / incident to concerned Risk Management team officials on real time basis. Coordinate and provide relevant information and clarifications to the Auditors and Inspections carried out by the Regulators. Percolate the corporate culture across departments through behaviour, actions and effective communication (Integrity, respect for individual, transparency in dealings, high productivity environment with clearly defined accountability) Ensure implementation of risk management framework - creation of EWS framework where possible, raising EWS alerts /processing EWS alerts from other MIIs, raising PMLA alerts / STR alerts to Principal Officer based on observed information / suspicions Responsibility of communication of Agenda and finalisation of Minutes of various applicable committees (eg. MCSGFC, ROC, etc) and / or Board, within timelines advised by the committee(s) and Secretarial department Ensuring proper and accurate database management Ensuring timely and accurate MIS Continuous improvement in efficiency of operations and member supervision through automation Identifying potential strengths and weakness of team members and recommending trainings / providing on-the-job trainings Ensuring quality consciousness in the activities and output of the department Ensuring quality Cross-functional / cross-departmental information exchange and quality deliberations Creating & maintain functional and task-based accountability and responsibility matrices of Inspection & Enforcement activities