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29 Jun 2022

dPAT

Deputy Manager - Inspection or Enforcement

Mumbai

3-4 Years

Law Enforcement, Inspection, Financial Services, capital market, Chartered Accountant

Job Description

Position : Deputy Manager - Inspection or Enforcement
Qualification : Chartered Accountant
Experience : 5 - 7 years of experience
Location : Mumbai

Key Roles and Responsibilities :
1. Verification of inspection reports and preparation of letter of observation(LO)
  • Analysis and verification of the inspection report.
  • Coordinate with regional offices for discrepancies, clarifications in inspection reports, if any.
  • Preparation of Letter of Observation (LO) based on the inspection reports received from Regional Offices.
2. Preparation of cases for placing before relevant authority for deciding suitable disciplinary
actions for violations observed during inspection
  • Preparation of LORA (Letter of observation reply analysis) based on the analysis of the replies made by the Members to the letter of observation.
  • Communication with member to obtain reply and sought clarification for preparation of LORA
  • Preparing the action sheets based on LORA for placing before the Internal Committee.
  • Coordination with other departments such as Investigation, ISC, member compliance, inspection for placing cases before the relevant authority for appropriate decision.
  • Conduct of the meetings on MS- Teams- Testing, co-ordination with Members etc.
3. Updating of tracker, status and data collation
  • Collation of data for SEBI or Internal Auditors as and when required
  • Preparation of various MIS on daily, weekly and monthly basis.
Role Requirements
  • Knowledge of financial and capital markets
  • Knowledge of statutory requirements applicable to the financial markets

29 June 2022

dPAT

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