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  • 10 - 15 Years
  • Posted : above 1 month

Job Description:

Role Manager Inspection & Audit (Onsite)

Location Mumbai

Qualification Profile CFA / CA / CS/ ICWA

Experience 10 -15 years relevant experience for CFA / CA / CS / ICWA Relevant experience with reputed Commodity / Stock Broker(s) and / or Stock / Commodity Exchange(s)

Job Responsibilities Ensure Letter of Intimation to members for Regular inspection / Special Purpose Inspection is sent as per inspections planned for the financial year
Schedule inspections in coordination with members
Send inspection data requirement and PIQ to members
Follow up with members regarding availability of the inspection data
Coordinate and Collate inspection related data from different departments of the Exchange
Analyse data received from various departments of the Exchange and from Members
Visit members locations as per schedule of inspection and ensure timely completion of inspections
Conduct inspections as per checklist and scope decided for the inspections
Collect relevant documents during the Inspections
Prepare Field observation sheet and obtain members reply
Prepare and send draft reports for verification to next level
Resolving queries on inspection report raised by post inspection team
Visit the member location for Special Purpose Inspection which may be mandated by SEBI/ Other departments of Exchange
Preparation of detailed Inspection MIS in timely manner
Prepare data / details as may be required by SEBI/ any other authority
Resolving member queries on circulars/Inspection by email or meeting them
Giving inputs on development and improvement of Inspection software
Go through Inspection reports thoroughly and get clarification and details if required from 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

Manager Inspection & Audit (Onsite)

Profile Summary:

Employment Type : Full Time
Eligibility : Any Graduate
Industry : Financial Services/Stockbroking
Functional Area : Accounting/Tax/Company Secretary/Audit
Role : Audit & Risk
Salary : As per Industry Standards
Deadline : 18th Nov 2019

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