Deputy Manager - Audit/Inspection & Compliance - CA/CS - Stock Exchange

Qualification: Qualified CA/CS

Experience: 1-3 yrs

Salary: 7-9 lacs p.a

Candidate must be from Delhi ( NCR) only

Purpose of the role:

To ensure that trading members/ stock brokers adhere to the regulatory norms by conducting onsite inspection, verification of member submission of required documents and audit reports and follows up with members for the same. To initiate action by sending penalty notes to defaulting members and initiating ICMA meetings for deciding their cases.

Key Responsibilities:

1. Quarterly selection of members for inspection visits

2. Onsite inspection/ Compliance visits

3. Post inspection activities

4. Activities post members reply to the letter of observation

5. Member compliance to regulatory norms and audit

6. Data collation and analysis for daily reports and adhoc requests

Desired candidate:

- 1-3 yrs of exp

- Qualified CA/ CS

- From BFSI sector

- Audits, Inspection and compliance

- Sebi regulatory norms

- Capital market