Manager - Compliance
Mumbai
| Department | Job posted on | Employee Type | Experience Range (Years) |
| Regulatory and Compliance | Permanent | 8-9 Years |
Role Description for: Manager – Compliance |
Title | Manager - Compliance | Function | Clearing Corporation Compliance |
Reports to – Functionally | Senior Manager | Reports to – Administratively | Senior Manager |
Direct Reporting From | N/A | ||
I. Purpose of the role:
To ensure continuous adherence to SEBI Inspection related matters pertaining to NCL
Interfacing with regulators especially SEBI in compliance related matters.
Interfacing with internal departments for the purpose of collation of information for generating reports on compliance related matters, facilitating regulatory queries resolution, etc.
Ensuring adherence to the timelines fixed in regulatory matters, facilitating the conduct of statutory committee meetings, preparing agendas and minutes of such committee meetings.
To support handle regulatory queries within defined timelines, track delays, track non-compliance areas. Escalate the exceptions and recommend operational solutions.
II. Key Responsibilities:
Sr. No. | Key Responsibility | Descriptive Parameters |
1 | CC Compliance activities
| Timely Monthly, Yearly and Quarterly reporting to Regulator. Monitoring of SEBI Circulars and ensuring creation of Tasks in Compliance Dashboard. Timely closure of tasks on Compliance Dashboard. Monitoring Rules Bye Laws changes on a monthly basis in consultation with Legal Team. Ensuring compliance with SECC regulations and track changes and new compliance requirements. Monitor Policies due for review. Timely updating of SEBI Letters/Emails in database and ensue timely compliance and replies. Display readiness for new Assignments / Projects and show initiatives for automation of activities |
2 | External/Internal Inspection/Audits | Arrangements for Inspections/Audits Timely and accuracy in replies to Regulatory Inspections/Audits Maintaining database of completed and pending replies /clarification on queries Ensue monitoring compliance with the Observations within timelines and placing before Committee/Regulator and monitoring repeated non compliances. |
3 | Meetings | Timely preparation of Agenda and minutes for Committee/Board meetings. Preparation of PPT for the meetings and upload Agenda on Dess Ensuring compliance with secretarial standards |
4 | Code of Ethics | Ensure 100% and timely submission of COE (Opening Stock and Quarterly) Non-Compliances to be reported to HRD PAN data to be shared with Exchange and Surveillance Team Sharing of COE submission status with HOD Reconciliation of employee count monthly Accurate submission data to be placed before Committee. Reliving employee clearance under COE Checking the Trackwizz integration report on daily basis and resolving discrepancies
|
5 | SEBI Circular monitoring | Liasoning with internal teams. Ensuring implementation of circulars issued by SEBI. |
6 | Stakeholder management | Managing the stakeholder internal and external |
Note: Additional responsibilities may be added from time to time depending on organisational requirements.
III. Key attributes of the role
Revenue (range) - | Direct/Indirect - None | Range – 0 | |
Budget (range) - | Approver/User - None | Range - 0 | |
Number of people managed: | 0 | ||
IV. Performance Measures Serial no.
Sr. no. | Performance Measures | Metrics |
1. | Financial measures | Not applicable |
2. | Customer measures | Not applicable |
3. | Internal Processes measures | Adherence to the calendar for conducting inspections on time = 100% Adherence to defined process and TAT to meet the defined SLAs= 100% |
4. | Learning and growth measures | Number of hours of training annually >=40 |
V. Collaboration – Internal & External Internal Stakeholder
Internal Stakeholder | External Stakeholder |
Internal teams | Regulator |
VI. Role Holder Requirements Educational Qualifications
Educational Qualifications
| Essential – CS Desired – NA |
Role Requirements | Knowledge of financial and capital markets. Knowledge of statutory requirements applicable to the financial markets |
VII. Competencies required for the role
Behavioural competencies | Desired rating | Functional competencies | Desired rating | |
Business Acumen | 5 | Domain Knowledge | 5 | |
Innovation and Improvement | 5 | Interpretation and adherence to Statutory Requirements | 5 | |
Teamwork | 4 | Financial Management & Statistics | 4 | |
Managing relationships | 5 | Stakeholder Relationship | 5 | |
Living the values | 5 | Knowledge of Regulations | 5 | |
Process orientation | 5 | Drafting Skills | 5 | |