Member Oversight

8 hours ago

Mumbai, Maharashtra, India BSE Full time ₹ 12,00,000 - ₹ 36,00,000 per year

Dear Candidate,

Greetings

Kindly find the Job Description for the Member Oversight (Inspection)

Role and Responsibilities:

  • Audit & Enforcement Experience:

    Conduct audits/inspections of SEBI-registered intermediaries and handle regulatory compliance or enforcement actions within the securities market, including Exchange or Depository compliance. .
  • Manage SEBI Circulars & Compliance:

    Ensure organizational compliance with SEBI circulars and manage compliance functions for SEBI-registered intermediaries (e.g., stockbrokers, Investment Advisors, Research Analysts).
  • Compliance Monitoring:

    Evaluate adherence of market participants to stock exchange rules, SEBI regulations, and securities laws.
  • Regulatory Updates:

    Stay informed on latest SEBI circulars, stock exchange regulations, securities laws, and market practices to ensure alignment with current standards.
  • Guidance & Training:

    Provide compliance guidance to brokerage firms, listed companies, and market participants; conduct training sessions to promote regulatory awareness.
  • Regulatory Collaboration:

    Liaise with regulatory bodies (including MIIs), securities commissions, and financial authorities to share information and ensure consistent enforcement of regulations.
  • Review Trading Activities:

    Assess trading patterns and activities to detect suspicious or fraudulent transactions and take corrective actions.
  • Document Findings & Reporting:

    Collect and analyze data, document inspection findings, and prepare detailed reports highlighting non-compliance issues and areas for improvement.

Preferred Skills:

  • Knowledge of stock exchange regulations, securities laws
  • Strong analytical skills and attention to detail
  • Excellent communication and report writing abilities
  • Should be conversant with capital markets and its operations.

Regards,

Yashashree Wagle

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