29 Jun 2022
Manager - Inspection or Enforcement
Inspection, Law Enforcement, Financial Services, capital market, Chartered Accountant, Annual Reports
- 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.
- 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.
- Collation of data for SEBI or Internal Auditors as and when required
- Preparation of various MIS on daily, weekly and monthly basis.
- Knowledge of financial and capital markets
- Knowledge of statutory requirements applicable to the financial markets
29 June 2022