Role and Responsibilities:  Conducting inspections: Performing in office inspections of brokerage firms, trading platforms, to examine their activities, systems, and operations.  Compliance monitoring: Evaluating the compliance of market participants with relevant stock exchange rules, regulations, and securities laws.  Documenting findings and preparing reports: Collecting and analyzing data, documenting inspection findings, and preparing detailed reports that highlight any non-compliance instances or areas that require improvement.  Investigating complaints and market irregularities: Responding to complaints related to trading practices, market misconduct, or non-compliance with regulations, and conducting thorough investigations to identify and rectify any breaches.  Reviewing trading activities:



Assessing trading activities and patterns to identify any suspicious or fraudulent activities and taking appropriate actions.  Identifying risks and recommending improvements: Identifying potential risks, loopholes, or areas of concern in trading operations and suggesting recommendations or implementing measures to mitigate those risks.  Collaborating with regulatory bodies and stakeholders (including MIIs): Liaising with relevant regulatory bodies, such as securities commissions or financial authorities, to share information, coordinate efforts, and ensure consistent enforcement of regulations.

📌 DM /Manager - Member Oversight (Mumbai)
🏢 Bombay Stock Exchange
📍 Mumbai