Job Description

Qualified CA Required

Primary Objective:

To ensure members (brokers, clearing members, etc.) comply with regulatory and internal norms by conducting inspections, analyzing data, and reporting discrepancies. The role involves both onsite and offsite monitoring, collaboration with internal/external stakeholders, and escalation of non-compliance.

1. Conduct inspection on members' site as per the inspection calendar for the quarter following a pre-approved checklist.

2. Draft the inspection report for the member.

3. Expand the scope of inspection beyond the pre-approved checklist after consulting manager.

4. Prepare the preliminary observation sheet for the inspection and schedule the closure meeting between the member and manager

5. Prepare the inspection report

6. Escalate matters like non co-operation of member/delay in furnishing data to the respective Manager

1. Conduct onsite inspection for vault & warehouse of commodities for the storage facilities and the goods stored therein.

Collate data to cater to the request raised by external regulators like SEBI and various internal departments within NSE Clearing

2. Collate and analyze data from other exchanges and internal NSE / NCL departments for reports

Analyze the compliances of Members for pre decided parameters for offsite.

2. Analyze the Member data along with the information available with the NCL for checking the accuracy.

3. Follow up through telephone/email for seeking reply to the queries raised, if any discrepancy is being observed. Escalate non-compliant members to Manager

1. Tracking SEBI Circulars and ensure compliance of SEBI norms for NSE Clearing

2. Support collation of data for submission to Regulatory authorities

Experience Range: 0-4 Years

QLf: CA

ctc - 20% fixed plus 10% Variable

Job Type: Full-time

Pay: ₹1,000,000.00 - ?1,200,000.00 per year

Application Question(s):

Have experience/ internship in Capital Market or Financial Service in Big 4 space? Current CTC? Notice? Location? * Are you a qualified CA?