Senior Manager - Inspection & Enforcement - Exchange/Broking

Description:

We are looking for experienced Senior Managers from Securities, Exchange, and Broking backgrounds to join our team in three key areas:

Key Roles & Responsibilities:

1. Enhanced Supervision

- Monitor member submissions and analyse alerts.

- Levy penalties for non-compliance, track follow-ups, and handle appeals.

- Prepare detailed MIS reports and member profiling.

2. Onsite Inspection

- Plan and conduct regular and special inspections of members.

- Coordinate inspection data, collect documents, and analyse findings.

- Prepare field observation sheets and draft inspection reports.

- Resolve member queries and ensure timely completion of inspections.

3. Enforcement

- Review inspection reports and issue Letters of Observation.

- Follow up on enforcement actions and coordinate with internal teams.

- Ensure adherence to process timelines and escalate issues when required.

Candidate Profile:

- 10 - 14 years of experience in inspection, enforcement, or member oversight within Securities/Exchange/Broking.

- Strong analytical, reporting, and coordination skills.

- Excellent communication and stakeholder management abilities.

- Proven ability to handle multiple priorities and meet deadlines.

Qualification:

- CA / CS / MBA / M.Com