Manager - Inspection - Member Resilience - BFSI

Job Title : Inspection - Member Resilience

Position : Manager

Qualification : CA, CS, or MBA

Job Responsibility :

Member Resilience Function :

- Periodic identification & selection of Members for Resilience function

- Identification of key risk areas for Members requiring immediate focus and monitoring

- Planning, designing and implementing appropriate tools for identifying, and estimating the risks affecting the Members

- Regular coordination of regional offices in carrying out the supervision process

- Analyzing the member documents, their submissions, statistics, reports and scrutinizing various trends in their volume, clientele etc.

- Draft resilience proposal for the identified Member and get is approved

- Overseeing the functions of the resilience teams in Regional offices and taking regular reports.

- Undertaking visits at identified Member offices in liaison with regional Teams.

- Preparation of resilience report for each Member and taking appropriate response and submission from the Member

- Examination of Member's past compliance status, inspection /internal Audit reports

- Placing the cases before the relevant authority of the Exchange for taking appropriate decisions and action required in each case.

- Regular follow up with the Members to ascertain the compliance status and taking action on implementation on resilience measures, wherever required

- Coordination with IT teams for system developments requirements

Other Activities :

- Undertake process improvements and update projects done to Business Excellence team

- Coordination and support to offsite supervision process

- Actively contributing to other pro compliance initiatives undertaken by the Department

- Reply to queries asked by SEBI / complex queries of Members regarding member/ exchange compliance.

Malvi Chitalia