Job Purpose
Apply professional audit principles, policies and procedures to the regular audit of members, & internal departments to ensure that potential risks are minimized, security and control guidelines are strictly adhered to and also to ensure that efficient and adequate checks and balances exist in work flow processes to achieve compliance.
Key Result Areas
- Conducting onsite inspection of members and joint inspections with SEBI: Timely completion of inspections as per TAT (Average 5 to 6 inspections per month).
- Creating compliance awareness amongst members: Sharing mandatory compliance requirements with best practices with members.
- Preparation & Verification of Inspection reports and checklists.
- Visit / inspection of Authorised Persons of Members.
- Member Compliance Workshop.
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