Senior Manager Inspection and Enforcement ((Onsite Inspection))

Mumbai - India

Monthly Salary: Not Disclosed

Posted on: 15 hours ago

Vacancies: 1 Vacancy

Job Summary

Ensure Letter of Intimation to members for Regular inspection / Special Purpose Inspection is sent as per inspections planned for the financial year

Schedule inspections in coordination with members

Send inspection data requirement and PIQ to members

Follow up with members regarding availability of the inspection data

Coordinate and Collate inspection related data from different departments of the Exchange.

Analyse data received from various departments of the Exchange and from Members

Visit members locations as per schedule of inspection and ensure timely completion of inspections

Conduct inspections as per checklist and scope decided for the inspections.

Collect relevant documents during the Inspections

Prepare Field observation sheet and obtain members reply

Prepare and send draft reports for verification to next level

Resolving queries on inspection report raised by post inspection team

Visit the member location for Special Purpose Inspection which may be mandated by SEBI/ Other departments of Exchange

Preparation of detailed Inspection MIS in timely manner

Prepare data / details as may be required by SEBI/ any other authority

Resolving member queries on circulars/Inspection by email or meeting them.

Required Skills:

Onsite Inspection & Regulatory AuditCapital Markets / Exchange Operations KnowledgeRegulatory Compliance & EnforcementInspection Planning & Execution

Ensure Letter of Intimation to members for Regular inspection / Special Purpose Inspection is sent as per inspections planned for the financial year Schedule inspections in coordination with members Send inspection data requirement and PIQ to members Follow up with members regarding availability of ...