Verified Job
IT / Software / Data Analyst
Enforcement Officer
IT / Software / Data Analyst
#591264
Remote / WFH
Job Description
• 1) Collation and finalization of data, Identify the database related issues and get the same fixed after co- ordinating with IT. Reisig monthly IOM for collection of penalty:· Verification and review of data as requested by SEBI and/or Internal Auditors from time to time.
• · To contribute to the Automation and Development of MIS generation systems
• · Verification & review of penalty file for inspection cases and raise monthly IOM to accounts for collection of penalty
• 2) Preparation of cases for placing before relevant authority for deciding suitable disciplinary actions for violations observed during inspection:· Approval of LORA based on the analysis of the replies made by the Members to the letter of observation.
• · Verification the action sheets based on LORA for placing before the Internal Committee.
• · Presenting the cases before the Internal Committee and handling the queries of the IC with respect to the same.
• · Identification of cases to be placed before MCSGFC and verification of Agenda and presentations (one pager details)
• · Presenting the cases before the MCSGFC and handling the queries of the MCSGFC with respect to the same.
• · Co-ordination with inspection/member compliance/ISC on the MCSGFC actionable and placing the updates before MCSGFC
• 3) Preparation of minutes of the meetings of Committees:· Verification of draft minutes/orders of the Committee meetings
· Issuance of action letters to members for the disciplinary actions decided by the relevant Authority:
· Verification of action letters for the disciplinary actions decided by the Committee
· Second Level Approver of penalties to be collected from various members to accounts team
4) Show cause Notices to members for critical violations:
· Verification of show cause notices to members for critical observations
· Coordination with members for reply and clarifications and escalations in case of non-submissions
· Verification of Analysis of replies of the member and placing before the relevant authority for appropriate decision.
· Review requests of members/ appeal on SAT:
· Analysis of review requests received from members
· Coordination with members for additional details and clarifications on the issues raised by the members
· Coordination with legal team for the decision of the relevant authority challenged by members before SAT / Court
5) Member queries & Regulatory Compliance:
· Attend to and resolve queries of members regarding the disciplinary actions decided by the Committee
· Verification of data requests sent by SEBI / EOW Enforcement with respect to matters pertaining to non- compliance reported by member with respect to market making
6) Interactions with internal and External Stake holders:
· To effectively co-ordinate with Inspection/Member Compliance and other regulatory teams to ensure that the functions of enforcement are completed within the specified TATs
· To interact and attend meetings with SEBI/MIIs and other regulatory whenever required.
• · To contribute to the Automation and Development of MIS generation systems
• · Verification & review of penalty file for inspection cases and raise monthly IOM to accounts for collection of penalty
• 2) Preparation of cases for placing before relevant authority for deciding suitable disciplinary actions for violations observed during inspection:· Approval of LORA based on the analysis of the replies made by the Members to the letter of observation.
• · Verification the action sheets based on LORA for placing before the Internal Committee.
• · Presenting the cases before the Internal Committee and handling the queries of the IC with respect to the same.
• · Identification of cases to be placed before MCSGFC and verification of Agenda and presentations (one pager details)
• · Presenting the cases before the MCSGFC and handling the queries of the MCSGFC with respect to the same.
• · Co-ordination with inspection/member compliance/ISC on the MCSGFC actionable and placing the updates before MCSGFC
• 3) Preparation of minutes of the meetings of Committees:· Verification of draft minutes/orders of the Committee meetings
· Issuance of action letters to members for the disciplinary actions decided by the relevant Authority:
· Verification of action letters for the disciplinary actions decided by the Committee
· Second Level Approver of penalties to be collected from various members to accounts team
4) Show cause Notices to members for critical violations:
· Verification of show cause notices to members for critical observations
· Coordination with members for reply and clarifications and escalations in case of non-submissions
· Verification of Analysis of replies of the member and placing before the relevant authority for appropriate decision.
· Review requests of members/ appeal on SAT:
· Analysis of review requests received from members
· Coordination with members for additional details and clarifications on the issues raised by the members
· Coordination with legal team for the decision of the relevant authority challenged by members before SAT / Court
5) Member queries & Regulatory Compliance:
· Attend to and resolve queries of members regarding the disciplinary actions decided by the Committee
· Verification of data requests sent by SEBI / EOW Enforcement with respect to matters pertaining to non- compliance reported by member with respect to market making
6) Interactions with internal and External Stake holders:
· To effectively co-ordinate with Inspection/Member Compliance and other regulatory teams to ensure that the functions of enforcement are completed within the specified TATs
· To interact and attend meetings with SEBI/MIIs and other regulatory whenever required.
