Enforcement Officer

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. Show more Show less