AVP - Inspection & Compliance - Stock Exchange Firm

Leading Stock Exchange Company- AVP- Inspection & Compliance- Mumbai

Company: Leading Stock Exchange Company

Role: AVP - Inspection Audit & Compliance

Location: Mumbai

CTC: Hike on your current CTC as per market standards

Who can apply: Looking for a candidate who have minimum 15 years of experience in Audit & Compliance in financial sector.

Roles & Responsibilities:

1. Off site monitoring & supervision of Members

2. Risk - based supervision

3. Monitoring top -20 systemically important brokers

4. IT Coordination

5. Review various processes/activities relating to off-site supervision of Stock Brokers

6. Monitor, analyse various submissions made by Members with respect to laid down early warning parameters to ensure compliance with regulatory requirements

7. Detailed evaluation of risk parameters and identification of red flags

8. Ensure planning and execution of offsite compliance

9. Reviewing the drafting and maintenance of SOPs/policy for respective activities.

10. Review trading activities of members to generate red flags

11. Monitor forensic audits initiated for various members

12. Review members for forensic review on periodic basis

13. Reviewing the periodic MIS to be provided.