Assistant Vice President - Membership & Inspection

Job Description

Detailed Job description : Supervising Audit Inspection of members of the Exchange. Supervising processing of application pertaining to Registration, Activation, de-activation and Surrender of membership. Regular maintenance processes like Change in Shareholding, Directors, Control Change, Merger, De-merger, and Amalgamation. Supervising Processing of application pertaining to Registration, Cancellation of Authorised Person and its regular changes regarding name, directors/partners, addresses. Processing of Application pertaining to allotment, shifting and cancellation of UserID given to members. Half /Yearly compliances like Net worth, Audit Report, Annual Report, Member Insurance. SEBI Inspection, Internal Audit Compliance and any other regulatory requirement from time to time. NOC pertaining to Status report etc. Conducting of On-site Inspections and post-inspection compliance as per prescribed guidelines. Implementation of Enhanced supervision, Action based on alerts received from Enhanced Supervision System. Verifying the data reported in Risk Based Supervision and Holding Statement activity. Issuing Exchange related circulars to the market within the prescribed time frame. Verification of compliance by members of various requirements like Internal Audit Report, System Audit Report, Quarterly Compliance Certificate, Client Funding disclosure, Advertisement.