Position – Deputy Manager
Location – Mumbai, Kurla
Qualification & Experience
- Qualification: CA / CS / MBA with NISM and NIFM certifications.
- Experience: 0–3 years in financial organizations (preferably Broking or CA firms).
- Skills Required:
- Strong knowledge of statutory and regulatory requirements applicable to financial markets.
- Excellent verbal and written communication skills.
Job Profile:
1. Onsite & Offsite Inspections / Compliance Visits
- Conduct scheduled onsite inspections of members as per quarterly inspection calendar using pre-approved checklists.
- Perform offsite inspections based on risk alerts.
- Continuously monitor data submitted by trading members.
- Draft inspection reports and preliminary observation sheets.
- Schedule closure meetings between members and reporting manager.
- Verify inspection reports prepared by juniors (maker-checker function).
- Conduct compliance visits for new members/brokers to familiarize them with compliance requirements and processes.
- Escalate issues such as non-cooperation or delays in data submission.
2. Data Collation & Analysis
- Collect and analyze data for reports and ad-hoc requests from external regulators (e.g., SEBI) and internal departments.
- Collate and compare data from other exchanges and internal sources for various reports.
3. Training & Awareness Programs
- Organize, coordinate, and conduct training programs for Trading Members (TMs) and Authorised Persons (APs).
- Organize and conduct investor awareness programs.
Note: Additional responsibilities may be assigned from time to time as per organizational requirements.
Preferable Industry: Broking, CA firms
