Manager - Inspection - BFSI

Role Title : Manager - Inspection

Function :

Inspections -HO

Purpose of the role :

Key Responsibilities :

Descriptive Parameters :

Member Resilience function :

- Periodic identification & selection of Members for Resilience function

- Identification of key risk areas for Members requiring immediate focus and monitoring

- Planning, designing and implementing appropriate tools for identifying, and estimating the risks affecting the Members;

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

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

- Draft resilience proposal for the identified Member and get is approved

- Overseeing the functions of the resilience teams in Regional offices and taking regular reports.

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

- Preparation of resilience report for each Member and taking appropriate response and submission from the Member

- 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.

- Regular follow up with the Members to ascertain the compliance status and taking action on implementation on resilience measures, wherever required

- Coordination with IT teams for system developments requirements Role Description for: 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

- Actively contributing to other pro compliance initiatives undertaken by the Department

- Reply to queries asked by SEBI / complex queries of Members regarding member/ exchange compliance.

- Verify reports/data prepared by AM for requests raised by external regulators like SEBI/ various internal departments within NSE.

- Handling any Member queries.

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 :

Educational Qualifications :

Essential : CA, CS or MBA degree

Desired : NA

Role Requirements :

- Knowledge of financial and capital markets

- Analysis of financial statements

- Good analytical skills and an eye for details

- Knowledge of statutory requirements applicable to the financial markets, preferably for broking firms

- Excellent team work capabilities

- Excellent organizational and communication skills,

- Good knowledge of MS office

- Should be willing to travel