Quarterly selection of members for inspection visits :

- Collate exchange data to assess risk and categorize members into different buckets.

- Prioritize members, and prepare quarterly inspection calendar/schedule as per selection criteria approved by Exchange/SEBI.

- Draft approval note and share inspection dates with respective regional inspection teams.

- Co-ordinate for visit date to member office and prepare the intimation letter to member.

Onsite inspection/ compliance visits :

- Conduct inspection on members- site as per the inspection calendar for the quarter following a pre-approved checklist.

- 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 (another AM).

- 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

Post inspection activities :

- Collect feedback from members of all regions on the inspection visits conducted.

- Send the letter of observation to the member after the inspection report is approved internally and follow up with member for reply.

- Follow up through telephone/email/reminder letter for seeking reply to letter of observation issued. Escalate non-compliant members to Manager

Activities post member reply to the letter of observation :

- Prepare the reply analysis note after receiving the members reply.

- Schedule ICMA (Internal Committee for Minor Action) meeting, as per convenience of members, prepare the agenda for the meeting, and carry out administrative arrangements for the same.

- Present the case of the member and preparation of draft minutes of Committee meeting.

- Coordinate for organizing of the Disciplinary Action Committee (DAC), as per requirement.

- Draft and send the action intimation letter to the member communicating the monetary penalty imposed / interim direction provided/ warning given to the member after finalisation of minutes of the committee meetings.

- Prepare review analysis note if a member requests for review of the decision taken by committee meetings.

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 Monthly Development report, Monthly Activity report, SEBI annual/ half yearly report to be sent to SEBI.

- Collation of data to be displayed on website as regards action initiated against member

Need a CA having 1 - 6 years of experience in Internal Audit

Location : Ahmedabad (Gift City)

Salary offered: 9 - 15 LPA

This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.