Manager - Arbitration - Cs/llb - BFSI

Exceed Consulting
  • Mumbai
  • 10-15 lakh
  • 5-10 years
  • 29 Jun 2015

  • Senior Management-Legal

  • Financial Services/ Capital Markets
Job Description

The desired candidate should be a CS/LLB

Monitoring arbitration process:

- To oversee the arbitration process followed by regional offices and ensuring adherence to TATs as defined

Implementation of arbitration awards :

- To oversee and approve the debiting of award amounts from the deposits of TMs for awards passed in favour of investors

Reports to SEBI :

- Monitoring that monthly, quarterly, half yearly, annual reports related to arbitration matters are prepared and sent within prescribed time.

Development :

- To oversee development of arbitration database as required for improving the efficiency of the processes of arbitration as well as development in line with the change in the procedure as per SEBI circulars issued.

Arbitration Committee Meetings:

- To prepare and place the agenda for Arbitration Committee meetings on periodic basis, preparation of minutes of the meeting, to prepare and ensure approval of Minutes of the Arbitration Committee meetings, to oversee the implementation and compliance of decisions taken by the Committee relating to arbitration, Appointment/ empanelment of new arbitrators to the panel of arbitrators of Exchange

Handling of cases related to SEBI, Police, EOW, RTI, etc :

- Reply to queries raised by Regulators like SEBI/EOW/MOF & Police with respect to investor complaints and arbitration matters. Coordinating with the legal department for their inputs in drafting the response, if needed.

Regulatory Compliance:
- Preparation of Policies by documenting the information to be given to External authorities with respect to special cases. Amendments to Rules, Byelaws and Regulations in view of the SEBI Circulars.

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Exceed Consulting