Assistant Manager - Inspection - CA - BFSI

Title : Assistant Manager - Inspection

Function Inspections : HO

Purpose of the role :

Key Responsibilities :

Key Responsibility Descriptive Parameters :

- Member Resilience function

- Periodic identification & selection of Members for Resilience function

- Analyzing the member documents, their submissions, statistics, reports and scrutinizing various trends in their volume, clientele etc.

- Collation of data related to identified Member from internal and external sources

- Undertaking visits at identified Member offices in liaison with regional Teams.

- Preparation of resilience report for each Member

- Coordination with Member/ Brokers for taking appropriate response and submission, ascertain the compliance status

- Examination of Member's past compliance status, inspection /internal Audit reports

- Placing the cases before the relevant authority of the Exchange for taking appropriate decisions and action required in each case.

- Taking action on implementation on resilience measures, wherever required

- Regular coordination of regional offices in carrying out the supervision process

- Coordination with IT teams for system developments requirements

Role Description for Assistant Manager - Inspection ;

- To ensure that trading members/ stock brokers adhere to the regulatory norms by conducting their periodic monitoring, verification of member submissions, inspection/Internal audit reports and regular follows up with members for the same.

Other Activities :

- Undertake process improvements and update projects done to Business Excellence team

- Coordination and support to offsite supervision process

- Handling any Member queries.

- Preparation of MIS, as and when required

Note : The principal responsibilities listed above are an illustrative list and not an exhaustive list. Additional responsibilities may be added from time to time depending on organisational requirements.

Role Holder Requirements :

Essential Qualifications : CA

Role Requirements : Knowledge of financial and capital markets

- Analysis of financial statements

- Good analytical skills

- Good team work capabilities

- Good knowledge of MS office

- Should be willing to travel

Experience Essential : 1-2 years of experience