Job profile :

1. Onsite & Offsite inspection/ compliance visits:

- Conduct inspection on members site as per the inspection calendar for the quarter following a pre-approved checklist or conduct inspection on members offsite based on alerts received.
- Continuous monitoring of the data submitted by the trading member to the Exchange.
- Draft the inspection report for the member.
- Expand the scope of inspection beyond the pre-approved checklist after consulting manager.
- Prepare the preliminary observation sheet for the inspection and schedule the closure meeting between the member and manager.
- Verify the inspection report prepared by the maker.
- Conduct compliance visits for current members/ brokers to acquaint them to the compliance requirements and inspection process.




- Escalate matters like non co-operation of member/delay in furnishing data to the respective Manager.

1. Data collation and analysis for daily reports and adhoc requests:

- Collate data to cater to the request raised by external regulators like SEBI and various internal departments
- Collate and analyse data from other exchanges and internal departments for reports.

1. Conduct training/ awareness programs

- Organize/Coordinate/conduct training programs for TMs/ APs
- Organize/ Coordinate/ Conduct investor awareness programs.

📌 Inspection Officer (Mumbai)
🏢 EVOKE HR
📍 Mumbai