Chief Manager - Investigation - BFSI

1. Preliminary investigation of alerts/Others

- Oversee the whole process of investigation of alerts so as to ensure adherence to agreed quality standards, SLAs and TAT

- Verify the analysis of cases approved for detailed investigation by the Manager and take the final decision regarding sending the alert for detailed investigation.

- Issue advisory letters to trading members on a daily basis.

- Levy timely penalty to defaulting trading members.

- Oversee that data to regulators is being provided in a timely manner.

- Processing of pattern recognition models alerts.

- Detailed investigation of alerts & preparation of detailed reports to SEBI.

- Handling Internal audit/SEBI audit.

2. Detailed investigation of alerts

- Verify and approve the investigation report to be sent to SEBI.

- Approve and issue the show cause notice in case the suspect is a member, after seeking the final approval from the AVP

- Prepare the agenda & present the case of a defaulting member to the Disciplinary Action - Committee (DAC) and prepare minutes for the DAC meetings.

3. Process/ System improvements

- Generate ideas for process improvements/ automations/ new report formats to enhance efficiency.

Educational Qualifications : Essential - MBA / CA/CFA degree

Role Requirement :

- Knowledge of financial and capital markets

- Knowledge of statutory requirements applicable to the financial markets

- Experience: Essential - 12 + years of experience

- Preferred candidates from BFSI sectors only