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Senior Executive/Manager - Inspection & Audit - BFSI (5-10 yrs)
Requirement :- Senior Executive / Manager - Inspection & Audit (Onsite) -Delhi / Chennai / Mumbai
Qualification Profile : CFA / CA / CS/ ICWA / LLB/ MBA
Job Responsibilities :-
- Go through Inspection reports thoroughly and get clarification and details if required from Onsite Inspection teams
- Verify that inspection files are properly arranged and all supporting data / documents are available in the files and send it to next level
- Generate and verify Letter of Observations
- Send approved Letter of Observation (LO) to members
- Follow up with members for reply to LO
- Verify members reply to LO and get further clarification if required from members
- Prepare reply analysis based on Letter of Observation and Members reply
- Prepare Agenda / Summary for approval note
- Send details of actions to respective department for its implementation
- Follow up with respective departments for implementation of actions
- Send action letters to the members
- Arrange for meeting with the member if called for personal hearing
- Carrying out post inspection activities as directed by Assistant Manager/ Manager / Senior Manager / Committee
Experience :
- Relevant experience with reputed Commodity / Stock Broker(s) and / or Stock / Commodity Exchange(s)
Experience :-5-10 yrs
Job Location :-Delhi / Chennai / Mumbai
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