1. Overseeing the inspections conducted by regional offices.
2. Review the Inspection observation sheet and discuss the observations identified by regional offices.
3. Reviewing the Inspection reports prepared by regional offices.
4. Continuous monitoring of the data submitted by the trading members to the Exchange.
5. Expand the scope of inspection beyond the pre-approved checklist.
6. Draft the scope of Limited Purpose Inspections of Trading Members.
Member compliance to regulatory norms and audit
1. Analyze the internal audit reports submitted by members to the exchange. Prepare the agenda and present the case of non-compliant Trading Members to relevant Committee of the Exchange.
2. Gather Compliant reports from non-compliant Trading Members
3. Analyze the annual returns, half yearly net-worth, financial details submitted by members and initiate appropriate actions in case of any early warning signals identified.
4. Send reminders via emails/ letters/ phone calls to non-complaint members.
5.
Check SEBI website to know if any member has been debarred from trading and initiate action on the same.
6. Update compliance calendar, consolidated circular, commonly observed violations during inspections / internal audit.
7. Reply to member queries through phone calls/emails.
Data collation and analysis for daily reports and adhoc requests
1. Collate data to cater to the request raised by external regulators like SEBI and various internal departments .
2. Collate and analyze data from other exchanges for Monthly Development report, Monthly Activity report, SEBI annual/ half yearly report to be sent to SEBI.
3. Collate data to be displayed on website as regards action initiated against member
If you are interested please let me know below details with your update cv
Current Company::
Payroll Company::
Total Years of Experience ::
Relevant Experience ::
Current CTC ::
Expected CTC ::
Notice Period :: Mention Last Working Date if you serving NP
Current Location ::
Proffered Location ::
PAN NO. ::
Date of Birth ::
Holding Offer :: Mention If you Have - Offer Amount and location and Date of joining in offered company
📌 Urgent Opening For Sr. Manager Inspection For Exchange Company (Mumbai)
🏢 EVOKE HR
📍 Mumbai
Reply to this offer
Impress this employer describing Your skills and abilities, fill out the form below and leave Your personal touch in the presentation letter.