Website Vitasta Consulting
Key Responsibilities:
– Co-ordinate with other MIIs and ensure Letter of Intimation to members for Regular inspection or Special Purpose Inspection is sent as per inspections planned for the financial year.
– Schedule inspections in coordination with all stakeholders.
– Send inspection data requirement and PIQ to members and follow up with members regarding availability of the inspection data.
– Coordinate and collate inspection related data from different internal departments and analyse data received from various internal departments.
– Visit members locations as per schedule of inspection and ensure timely completion of inspections and conduct inspections as per checklist and scope decided for the inspections.
– Prepare Field observation sheet and obtain members reply and prepare and send draft reports for verification to next level.
– Preparation of detailed Inspection MIS in timely manner.
– Prepare data or details as may be required by SEBI or any other authority.
– Resolving member queries on circulars or Inspection by email or meeting them.
– Help in development of off-line alerts basis the data that is already available.
– Go through Inspection reports thoroughly and get clarification and details if required from Onsite Inspection teams.
– Verify that inspection files are properly arranged and all supporting data or documents are available in the files.
– Prepare Letter of Observations and send approved Letter of Observation (LO) to members.
– Follow up with members for reply to LO and analyse members reply to LO and get further clarification if required from members.
– Prepare reply analysis based on Letter of Observation and Members reply and prepare Agenda or Summary for approval note, for placing before relevant committee or authority.
– Send action letters to the members.
– Arrange for meeting with the member if called for personal hearing.
– Prepare detailed MIS as per format in timely manner.
– Ensuring adherence to the TAT fixed for each process and levying penalty and followup for delay in penalty.
– Analysis of Inspection Report.
– Processing of Appeals received from Members.
– Replying to members queries with respect to various compliance issues.
– Regular checking of websites of other Exchanges or Regulator for new Circulars or guidelines or notifications.
– Arranging reply to the requests of other department for status of members.
– Ensuring levy of penalty in case of non-compliance to regular periodic submissions and also ensuring that data is regularly updated so that there are no instances of wrong penalty.
– Ensuring that instances of false reporting are clearly identified and action as stipulated is taken against the members concerned.
– Represent company in discussions with other MIIs as far as Member Inspection is concerned and co-ordinate with other MIIs for joint inspections.
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