- Processing requests from Issuers for allocation of ISINs to Debt Securities
- Complying to various regulatory requirement
- Preparation of MIS related to Debt Securities ISIN activation
- Preparation of reports related to regulatory compliances
- Handling debt securities admission related queries from Issuers
- Record keeping of various documents
- Handling Audit queries related to work
1. Audit, Inspection & Compliance functions.
2. To conduct inspection and ensure timely submission of reports and subsequent compliances from BPs.
3. Identification of process improvements in the existing inspection process.
4. To complete the end to end process of monitoring receipt and review of all periodical submissions from Business Partners as per Compliance Calendar.
5. Co-ordinate and facilitate for BPs, HO and IT team to develop and/or enhance system controls, procedures and trainings.
6. Pro-active action to ensure correct and timely compliance of all required submissions by respective BPs.
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