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Senior Manager - Investigation

9.00 to 11.00 Years   Mumbai City   25 Nov, 2022
Mangalam Placement Private Limited
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaFinance / Accounts / Tax
EmploymentTypeFull-time

Job Description

    Position: Senior Manager - InvestigationQualification: MBA, CAExperience: 9 to 11 yearsLocation: MumbaiPreliminary investigation of alerts
    • Verify the analysis sheet pertaining to investigation of alerts that are prepared by AM.
    • Provide additional inputs to improve the quality of analysis.
    • Take the final decision regarding closure of an alert.
    • Approve AMs decision regarding detailed investigation of the alert.
    • Monitor and analyse data recorded from the pattern recognition models.
    • Monitor the submission of data to regulators, trading members.
    • Monitoring of submission of Client Code Modification (CCM) data to regulators and levy of monthly penalty for CCM.
    • Verify the PAT reports.
    • Review the alerts under watch and the pattern recognition models, etc
    • Verify the advice, show cause, agenda items for committees, etc
    • Detailed investigation of alerts & preparation of detailed reports to
    Investigation operations
    • Verify SEBI orders processing, Issuance of circulars etc.
    • Verify NOC to various department within w.r.t SEBI debarment.
    • Verify SEBI data requests & SEBI alerts, complaints.
    • Verify client code modification waiver minutes, submission to regulators
    • Verify Issue advice letter, show cause notices to members; prepare the agenda for meetings and draft minutes of the meetings and actionletters
    • Keep self-updated on the recent developments, SEBI circulars etc.
    • Verification and finalization of BR in consultation with seniors.
    Process/ System improvements and people management
    • Review of process maps, projects in department, etc.
    • Coordinate with other departments to implement the improvement initiatives.
    • Review of existing alerts, pattern recognition models etc.
    MIS & reporting
    • Verify weekly, monthly MIS to be sent to senior management and external regulators.

Keyskills :
sebi regulationsinvestigationccmprocess improvementinvestigation of alerts

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