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 :
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.
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.
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
📌 Am Dm Inspection Mumbai (India)
🏢 TopGear Consultants
📍 India
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