Hi. I am working in a capital market regulatory body in my home country (working with the government to regulate and monitor the financial sector). i need help with the NOC. I Think my NOC code is 1114.
Following is my job timeline:
Position: Assistant Director
Tenure: April, 2020 till date
Department: Systemic Risk Wing, International Relations Department, Chairman Secretariat
Job Responsibilities:
Position: Management Executive
Tenure: May 2019 till April, 2020
Department: Market Supervision & Risk Department, Securities Market Division
Job Responsibilities:
Department: Adjudication & Licensing Wing, Licensing and Regulatory Approvals Department, Securities Market Division
Job Responsibilities:
Following is my job timeline:
Position: Assistant Director
Tenure: April, 2020 till date
Department: Systemic Risk Wing, International Relations Department, Chairman Secretariat
Job Responsibilities:
- Monitor and Analyse risk reports generated by clearing company, results of stress test & reverse stress test model and point out associated risks in capital market, examine frequent breaches of risk thresholds by securities brokers and escalate the breaches to relevant department and SRO for investigation/action.
- Monitor Capital market Trade activity from a risk perspective.
- Assessment of leverage in the capital market i.e. Futures, MTS, MF etc.
- Designing systemic risk monitors and early warning systems for monitoring and examining financial stability of capital market and non-banking and Finance Sector.
- Prepare and disseminate risk reports capturing sectoral risk assessment and market research
Position: Management Executive
Tenure: May 2019 till April, 2020
Department: Market Supervision & Risk Department, Securities Market Division
Job Responsibilities:
- Surveillance stock market trade activity through dedicated market surveillance system (MSS) by evaluation of price fluctuations, quantum of orders placed, corresponding trades in futures market and analysis of off-market trade activity by Securities Brokers, Mutual Funds, Insurance Companies and Individuals
- Analysis of daily trade/market alerts to assess any possible detection of insider trading and price Manipulation and other manipulative market practices
- Detection of probable violations of the regulatory framework (Securities Act, Futures Market Act) and through analysis of trading pattern
- Preparation of Action Reports leading for initiation of investigation
- Initiate investigation for substantiating the trading malpractices for punitive action
- Perform analysis on preliminary reports shared by Securities Exchange
- Preparation of Daily Market Reports
Department: Adjudication & Licensing Wing, Licensing and Regulatory Approvals Department, Securities Market Division
Job Responsibilities:
- Adjudicate regulatory non-compliances of companies in investment industry such as brokers, investment advisers, clearing company, securities exchange, depository company etc.
- Assessment of cases/adjudication recommendation notes, drafting of show-cause notices, conducting hearings, drafting of orders and compliance review letters and referring cases to SROs (self-regulatory organizations such as Securities Exchnage and Clearing Company) for action
- Examination of applications of licensing and renewal of regulated entities (Securities Brokers, Commodity Brokers, Securities and Futures advisers) and regulatory approvals such as change in sponsorship, repayment of subordinated loan etc.
- Manage penalties register and ensure recovery of penalties in defaulter cases
- Manage claims of Investors against defaulted brokers in close coordination of with Securities exchange