7.0 - 12.0 years

7 - 17 Lacs

mumbai

Work from Office

Dear Candidate, Greetings!! Kindly find the Job Description for the Member Oversight (Inspection) Role and Responsibilities: Conducting inspections: Performing on-site inspections of brokerage firms, trading platforms, to examine their activities, systems, and operations. Compliance monitoring: Evaluating the compliance of market participants with relevant stock exchange rules, regulations, and securities laws. Documenting findings and preparing reports: Collecting and analyzing data, documenting inspection findings, and preparing detailed reports that highlight any non-compliance instances or areas that require improvement. Investigating complaints and market irregularities: Responding to complaints related to trading practices, market misconduct, or non-compliance with regulations, and conducting thorough investigations to identify and rectify any breaches. Reviewing trading activities: Assessing trading activities and patterns to identify any suspicious or fraudulent activities and taking appropriate actions. Identifying risks and recommending improvements: Identifying potential risks, loopholes, or areas of concern in trading operations and suggesting recommendations or implementing measures to mitigate those risks. Collaborating with regulatory bodies and stakeholders (including MIIs): Liaising with relevant regulatory bodies, such as securities commissions or financial authorities, to share information, coordinate efforts, and ensure consistent enforcement of regulations Providing guidance and training: Offering guidance and advice to market participants, brokerage firms, and listed companies on compliance matters and hosting training sessions to promote awareness and understanding of regulatory requirements. Keeping up to date with regulations: Staying informed about the latest developments in stock exchange regulations, securities laws, and market practices to ensure inspections and recommendations are aligned with current standards. Participating in industry initiatives: Engaging in industry working groups or committees to contribute to the development of new regulations or industry best practices. Managing SEBI Circulars: Keep updated on SEBI circulars and ensure compliance within the organization. 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

Posted 5 days ago

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