Regulatory inspection role. Job_46

DM Inspection ( Onsite/Offsite) .

Count of open positions 10 nos (AM/DM)

Position Assistant Manager/ Deputy Manager

Location Mumbai, Kurla ( Western Regional office)

- CA/MBA finance with certifications from NISM and NIFM
- 6 months to 3yrs work experience in financial organisations.
- Knowledge of statutory requirements applicable to the financial markets.
- Should have excellent verbal & written communication skills.

Note: Additional responsibilities may be added from time to time depending on organisational requirements.

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 within NSE.
- Collate and analyse data from other exchanges and internal NSE departments for reports.

1. Conduct training/ awareness programs

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

Preferable Industry : Investment services, Financial data management companies , CA firms, Broking firms. Selected candidates will have to undergo a mandatory Excel and English assessment to proceed with their candidature

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