Job Description
Job Overview :
This is a mid-to-senior level leadership role in a Capital Market Conglomerate. The role is responsible for overseeing compliance and inspection of Trading Members / Stock Brokers to ensure they adhere to regulatory norms
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Core Purpose of the Role
The main goal is to ensure that Trading Members (stock brokers) strictly follow all regulatory norms
- Conducting and overseeing onsite inspections
- Verifying documents and audit reports
- Monitoring compliance
- Taking action against non-compliant members
Key Responsibilities :
1. Overseeing Onsite Inspections / Compliance Visits
- Overseeing inspections conducted by regional offices.
- Review the Inspection observation sheet and discuss observations with regional teams.
- Reviewing Inspection r...