Senior Executive - Member Inspection
NCDEX Limited (Formerly known as National Commodity and Derivatives Exchange Limited) · Delhi · onsite · Posted 36d ago
Undisclosed0–2 yrsfulltimeSourced from
About a minute. You'll make an account on the way through.
About this role
Role & responsibilities
- Conducting onsite/remote inspection of members/ Authorised Persons of Members including surprise visits / Joint Inspection of members along with SEBI as per the TAT (Average 6 inspections per month)
- Individual Development Plan (IDP)- Self-development. -Undertaking various e-learning programmes Certification exams or taking part in various training programmes.
- Creating compliance awareness amongst members. - Sharing mandatory compliance requirements with best practices with members. Organising Member compliance workshop.
- Preparation & Verification of Inspection reports and checklists. -Submission of Data to Exchange post inspection and correctness of Data/information between checklist and Report
- Analysis of alert w.r.t online monitoring of margin reporting and client fund monitoring calculation.
- Maintaining high standards of Governance. - Strengthen Regulatory compliance
Preferred candidate profile
- Educational Qualification
- Chartered Accountant
- MBA in Finance
- Experience
- 0 to 2 years of relevant work experience. Preferably from Stock Exchange/Broking industry having experience in managing Audit functions in well-established and recognized Exchange/Firm
Sourced from naukri
Skills
offsite inspectionMember InspectionMember ComplianceInternal AuditExchange ComplianceAlert Analysison-site inspection