Member Oversight (Inspection) Walk-in Drive

Dear Candidate,

Greetings!!

Kindly find the Job Description for the Member Oversight (Inspection)

Role and Responsibilities:

• Audit & Enforcement Experience:

  Conduct audits/inspections of SEBI-registered intermediaries and handle regulatory compliance or enforcement actions within the securities market, including Exchange or Depository compliance. .

• Manage SEBI Circulars & Compliance:

  Ensure organizational compliance with SEBI circulars and manage compliance functions for SEBI-registered intermediaries (e.g., stockbrokers, Investment Advisors, Research Analysts).

• Compliance Monitoring:

  Evaluate adherence of market participants to stock exchange rules, SEBI regulations, and securities laws.

• Regulatory Updates:

  Stay informed on latest SEBI circulars, stock exchange regulations, securities laws, and market practices to ensure alignment with current standards.

• Guidance & Training:

  Provide compliance guidance to brokerage firms, listed companies, and market participants; conduct training sessions to promote regulatory awareness.

• Regulatory Collaboration:

  Liaise with regulatory bodies (including MIIs), securities commissions, and financial authorities to share information and ensure consistent enforcement of regulations.

• Review Trading Activities:

  Assess trading patterns and activities to detect suspicious or fraudulent transactions and take corrective actions.

• Document Findings & Reporting:

  Collect and analyze data, document inspection findings, and prepare detailed reports highlighting non-compliance issues and areas for improvement.

Preferred Skills:

• Knowledge of stock exchange regulations, securities laws
• Strong analytical skills and attention to detail
• Excellent communication and report writing abilities
• Should be conversant with capital markets and its operations.

Regards,

Yashashree Wagle