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 . Core Purpose of the Role The main goal is to ensure tha t Trading Members (stock broker s) 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 reports prepared by regional offices Draft the scope of Limited Purpose Inspections of Trading Members. 2. Data Collation and Analysis Collate data for requests from external regulators and internal departments Prepare Monthly Development Report, ...