Functional Manager

ICICI Securities · Banking & Financial Services

Verification of employee trades on Monthly frequency

Verification, Monitoring and Reporting of any breaches carried out by the Designated persons on a monthly basis and reporting to exchanges

Ensuring all system level restrictions are placed on the server to ensure no trade breaches occur.

Ensuring Automation of the Company’s Employee Trading application for all roles is carried out in an adequate manner.

Testing the automations to check if all suggested changes are incorporated correctly with multiple case studies.

Resolving the queries raised by the employees on PIT related compliances.

Ensuring necessary processes/formalities are followed during the trading window closure period

Raising requirements for development in process/application

Preparing agenda note and annexures for reporting status of compliance to the Board and amendments in PIT code on quarterly basis

Verification of Structured Digital Database on Monthly frequency

Identifying breaches to the policy of the company

Initiating adequate action against the employees reporting to Head Compliance