Senior Manager - Inspection & Audit

Description:

Job Title: Senior Manager Inspection and Audit (Onsite).

Location: Onsite.

Qualification: CA / CS / MBA / M.Com.

Experience: 10-14 Years.

Role Summary:

The Senior Manager Inspection and Audit will be responsible for planning, coordinating, and executing inspections of members, ensuring regulatory compliance, and maintaining detailed reporting.

The role involves both onsite inspections and data analysis, with interaction across departments and regulatory authorities.

Key Responsibilities:

Inspection Planning & Coordination:

- Issue Letters of Intimation for regular and special purpose inspections.

- Schedule inspections in coordination with members.

- Send inspection data requirements and PIQs to members.

- Follow up with members for timely availability of inspection data.

Data Management & Analysis:

- Coordinate and collate inspection-related data from Exchange departments.

- Analyze data received from members and internal departments.

- Prepare data and reports required by SEBI or other authorities.

Onsite Inspections:

- Conduct inspections as per pre-defined checklist and scope.

- Collect relevant documents during inspections.

- Prepare Field Observation Sheets and obtain member responses.

- Conduct special purpose inspections mandated by SEBI or Exchange departments.

Reporting & Communication:

- Prepare and send draft inspection reports for verification.

- Resolve queries raised by post-inspection teams regarding inspection reports.

- Maintain detailed inspection MIS and ensure timely submission.

- Address member queries on circulars or inspections via email or meetings.

Regulatory Compliance:

- Ensure inspections and reporting comply with SEBI and Exchange guidelines.

- Prepare necessary data/details required by regulatory authorities.

Skills & Competencies:

- Strong analytical and auditing skills.

- Excellent coordination and stakeholder management abilities.

- Proficiency in regulatory compliance and reporting.

- Effective communication skills for member interactions and team coordination.