Exchange Compliance Director

Job Title :

Senior Manager / Assistant Manager / Senior Executive – Inspection & Audit (Onsite Inspection)

Location : Gandhinagar / Mumbai

Qualification : CA / CS / MBA

Experience : 3 to 15 years of relevant experience

Role Overview :

The role involves conducting onsite inspections and audits of exchange members to ensure compliance with SEBI regulations, internal policies, and operational guidelines. The position requires strong analytical and auditing expertise along with effective coordination and stakeholder management skills.

Key Responsibilities :

• Issue Letters of Intimation to members for regular and special-purpose inspections as per the approved inspection plan.
• Schedule inspections in coordination with members and relevant internal departments.
• Send inspection data requirements and PIQs to members and follow up for timely submission.
• Coordinate and collate inspection-related data from various departments within the Exchange.
• Analyze data received from different sources to identify potential risk areas and ensure accuracy.
• Conduct onsite inspections at member locations as per the defined checklists and scope.
• Collect and verify documents and maintain complete inspection records.
• Prepare Field Observation Sheets (FOS) , obtain member responses, and compile findings.
• Draft and submit inspection reports for verification and review.
• Resolve post-inspection queries raised by the inspection review team.
• Participate in Special Purpose Inspections as mandated by SEBI or other internal departments.
• Prepare and maintain Inspection MIS and related reports on a timely basis.
• Provide data and support for SEBI or other regulatory authority requests .
• Handle member queries related to circulars, inspection processes, and compliance issues via email or meetings.

Key Skills & Competencies :

Interested Candidates Can Share Their Updated Resume : - jeena.sunil@evokehr.com