- CA with 1-3 years experience and knowledge of financial markets and statutory requirements
- Conduct onsite/offsite inspections, monitor trading data, draft reports, coordinate compliance visits, collate data for regulators, and organize training programs
Role & responsibilities : 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 new 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 • Collate and analyse data from other exchanges and internal departments for reports.
- Conduct training/ awareness programs • Organize/Coordinate/conduct training programs for TMs/ APs • Organize/ Coordinate/ Conduct investor awareness programs.
Preferred candidate profile
Qualifications & Experience: • CA (1 to 3 years) • Knowledge of financial and capital markets. • Knowledge of statutory requirements applicable to the financial markets. • Should have excellent verbal & written communication skills. • Should display high standard of customer service & should be able to build solid customer relationship. • Should be self-motivated and able to take responsibility.