Compliance Officer

Job Description

Role : Deputy Manager/Manager/AVP- Enforcement Location : Mumbai- BKC JD- 1. Cases to be placed before the Internal Committee/MCSGFC for initiating disciplinary against the Trading Members for violations observed during inspection: Drafting the letter of observation/show-cause notice based on the inspection reports received from Inspection Department Coordinating with the Inspection Department in case of discrepancies/clarifications in inspection reports Analyzing the replies to the letter of observation/show-cause notice Drafting the action sheets based on analysis of the reply to the letter of observation/show-cause notice for placing the Internal Committee. Drafting the agenda/one pager/minutes Drafting the action letter/orders intimating the decision of the MCSGFC to the Trading Members. 2. Review applications/appeals filed by Trading Members: Analyzing the review request received from Trading Members Coordinating with Trading Members for additional details/clarifications Coordinating with the legal team on court cases filed by Trading Members challenging the decisions of the MCSGFC 3. Member queries and regulatory compliance: Resolving the queries of Trading Members on the disciplinary actions decided by the Committee Verifying the requests from SEBI / EOW and providing the data 4. Delisting - Enforcement related activities: Drafting the agenda and minutes Coordinating with the Listing Department and handling queries received from listed companies Issuing show-cause notice to listed companies 5. Collating data for SEBI/Internal Auditors: Compiling/Collating data requested by SEBI and/or Internal Auditors from time to time. Reporting compliance of providing the information sought by Regulators/Auditors. Contributing in the Automation and Development of MIS systems 6. Miscellaneous works: Intimating Finance & Accounts on the penalties to be collected from Trading Members Preparing and filing of STR data Submitting the NOC and the status report every month Tracking Internal Committee direction Uploading the details of the meeting in the system Printing agendas and minutes Preparing data - internal data/SEBI data/internal audit data/NCL data/ listing data Show more Show less