Years of Experience - 5 to 10 years
Roles & Responsibilities:
- Thorough knowledge of SEBI (Prevention of Insider Trading) Regulations and Circulars/notifications issued thereunder from time to time
- Drafting the Policies and FAQs for the Prevention of Insider Trading both for a listed Company and a SEBI registered intermediary
- Defining and disseminating the various processes as may be required to give effect to the provisions of the Policies
- Making changes/modifications in the policies from time to time as required and disseminating the same to all employees
- Owning and maintaining/operating the System which is used to provide approvals/rejections to employees for trading in the securities market. Undertaking the changes/modifications in the system as required in coordination with the Tech team
- Regular reviews and audits to ascertain if the systems/processes are working as anticipated
- Obtaining the Annual Declaration from all the employees and maintaining the records of the same
- Attending to various queries as may be raised by the employees about Employee trading
- Analyzing the trades of the employees to identify the trades that violate the policies and taking corrective measures
- Verifying and analyzing the information/details submitted by the employees
- Managing day-to-day process requirements and managing employee conflict.
- Working closely with the Line of Business (LOB) to understand the process and manage LOB process expectations.
- Liaising with upper management, preparing and presenting monthly reviews to senior management.
- Placing the changes in policies and instances of violations before the Committee / Senior Management as the case may be
