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22 Aug 2022

nrkS

Senior Manager

Mumbai

6-8 Years

financial markets, SEBI, Financial Analysis, Internal Control

Job Description

Profile: Senior Manager
Qualification: CA
Experience: 5-8 Years
Location: Bandra Kurla Complex (Corporate Office)

Role Requirements :
  • Knowledge of financial and capital markets.
  • Knowledge of statutory requirements applicable to the financial markets.
  • Handled inspections of various types of stock Brokers including Small & Medium Size stock brokers, proprietary traders, brokers having institutional clients, banks dealing in equity market and big broking house 
  • To ensure that stock brokers adhere to the SEBI Regulations & Consolidated Circulars of SEBI & Exchange issued periodically to verify whether the Members of the Exchange are adhering to the compliance related clauses by conducting onsite Inspection Verification of appropriate segregation of Own, Clients Funds, Securities to ensure that Trading Member is not misutilization clients funds, securities.
  • Verification of books and records maintained, various submissions required on part of stock brokers Conducting in-depth financial analysis and risk assessment of stock broker to gauge their solvency and to evaluate the potential risk they pose to the system
  • Discussion and examination of risk management and internal control systems.
  • Discussing the findings with the stock broker and recommending for improvement to avoid the recurrences of violations Handled Joint Inspections of the Broker with other Exchanges along with SEBI Also handled Limited Purpose Inspection which are conducted with ensuring compliance of specific area or issue based on predefined risk parameters
  • Conducted Compliance training, Investor Awareness Program and Compliance Visit to newly registered member of Exchange.

Desired – Relevant experience in financial services

22 August 2022

nrkS

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