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AVP Inspection, 15 to 18 years - Mumbai

15.00 to 18.00 Years   Mumbai City   03 Mar, 2023
Mangalam Placement Private Limited
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaFinance / Accounts / TaxCompany Secretary
EmploymentTypeFull-time

Job Description

    Position: AVP InspectionQualification: CS, CA, MBAExperience: 15 to 17 yearsLocation: MumbaiOff-site monitoring & supervision of Members
    • Review various processes, activities relating to off-site supervision of Stock Brokers
    • Monitor, analyse various submissions made by Members with respect to laid down early warning parameters to ensure compliance with regulatory requirements
    • Detailed evaluation of risk parameters and identification of red flags
    • Ensure planning and execution of offsite compliance
    • Reviewing the drafting and maintenance of SOPs/policy for respective activities.
    • Review trading activities of members to generate red flags
    • Monitor forensic audits initiated for various members
    • Review members for forensic review on periodic basis
    • Reviewing the periodic MIS to be provided.
    Risk based Supervision
    • Review the financial data filed by the Members, using indicators and ratios and other methods of analysis
    • Evaluation and assessment of risks based on laid down parameters and weights
    • Identification of red flags and risk contributing factors
    • Monitoring of Top 20 systemically important brokers
    • Review the data received from Top 20 brokers
    • Monitor the capital adequacy and raise red flag wherever financial health deterioration signals are observed
    • Use of data analytics tool & data warehouse to scrutinise various data sets and generation of various reports
    IT Co-ordination
    • Monitor the requirement of system enhancement and development request to Inspection IT for setting up on line system to run the alerts effectively and efficiently
    • Conduct periodic review meets with IT and HOD.
    • Co-ordinate with users at regional level for quarterly BCP activities.
    • Create new user in Inspection/internal audit database and other modules in the system
    Other Activities
    • Undertake process improvements and update projects to Business Excellence Team.
    • Reply to queries asked by SEBI, queries of Members relating to compliance matters.
    • Reviewing the Submission of various reports to SEBI
    Candidiates from Market infrastructure institutes please dont apply

Keyskills :
capital marketsebi compliancefinancial marketsfinancial servicesstock exchangerisk assessmentchartered accountantmba

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