Senior Manager Inspection and Enforcement (Enforcement)

Mumbai - India

Monthly Salary: Not Disclosed

Posted on: 3 hours ago

Vacancies: 1 Vacancy

Job Summary

Go through Inspection reports thoroughly and get clarification and details if required from Onsite Inspection teams

Verify that inspection files are properly arranged and all supporting data / documents are available in the files

Prepare Letter of Observations

Send approved Letter of Observation (LO) to members

Follow up with members for reply to LO

Analyse members reply to LO and get further clarification if required from members

Prepare reply analysis based on Letter of Observation and Members reply

Prepare Agenda / Summary for approval note for placing before relevant committee /authority

Send details of actions to respective department for its implementation

Follow up with respective departments for implementation of actions

Send action letters to the members

Arrange for meeting with the member if called for personal hearing

Carrying out post inspection activities as directed by Assistant Manager/ Manager / Senior Manager / Committee

Prepare detailed MIS as per format in timely manner

Ensuring adherence to the TAT fixed for each process

Processing requests for issuance of status report.

Levying penalty and followup for delay in penalty.

Tracking other department replies pending.

Analysis of Inspection Report

Processing of Appeals received from Members

Web-site updation

Replying to members queries with respect to various compliance issues

Regular checking of websites of other Exchanges / Regulator for new Circulars / guidelines / notifications

Regular checking of newspapers

Arranging reply to the requests of other department for status of members

Complete any work assigned in the department including onsite inspection when needed.

Required Skills:

Enforcement & Post-Inspection ProcessesInspection Report AnalysisLetter of Observation (LO) DraftingRegulatory Compliance & Enforcement

Go through Inspection reports thoroughly and get clarification and details if required from Onsite Inspection teams Verify that inspection files are properly arranged and all supporting data / documents are available in the files Prepare Letter of Observations Send approved Letter of Observation (LO...