Position – Deputy Manager
Location – Mumbai, Kurla
Qualification & Experience
Qualification : CA / CS / MBA with NISM and NIFM certifications.
Experience : 0–3 years in financial organizations (preferably Broking or CA firms).
Skills Required :
Strong knowledge of statutory and regulatory requirements applicable to financial markets.
Excellent verbal and written communication skills.
Job Profile:
1. Onsite & Offsite Inspections / Compliance Visits
Conduct scheduled onsite inspections of members as per quarterly inspection calendar using pre-approved checklists.
Perform offsite inspections based on risk alerts.
Continuously monitor data submitted by trading members.
Draft inspection reports and preliminary observation sheets.
Schedule closure meetings between members and reporting manager.
Verify inspection reports prepared by juniors (maker-checker function).
Conduct compliance visits for current members/brokers to familiarize them with compliance requirements and processes.
Escalate issues such as non-cooperation or delays in data submission.
2. Data Collation & Analysis
Collect and analyze data for reports and ad-hoc requests from external regulators (e.g., SEBI) and internal departments.
Collate and compare data from other exchanges and internal sources for various reports.
3. Training & Awareness Programs
Organize, coordinate, and conduct training programs for Trading Members (TMs) and Authorised Persons (APs).
Organize and conduct investor awareness programs.
Note : Additional responsibilities may be assigned from time to time as per organizational requirements.
Preferable Industry: Broking, CA firms