Member Oversight

2 weeks ago

Mumbai, Maharashtra, India BSE Full time ₹ 9,00,000 - ₹ 12,00,000 per year

Dear Candidate,

Greetings

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

Role and Responsibilities:

  • Conducting inspections: Performing on-site inspections of brokerage firms, trading platforms, to examine their activities, systems, and operations.
  • Compliance monitoring: Evaluating the compliance of market participants with relevant stock exchange rules, regulations, and securities laws.
  • Documenting findings and preparing reports: Collecting and analyzing data, documenting inspection findings, and preparing detailed reports that highlight any non-compliance instances or areas that require improvement.
  • Investigating complaints and market irregularities: Responding to complaints related to trading practices, market misconduct, or non-compliance with regulations, and conducting thorough investigations to identify and rectify any breaches.
  • Reviewing trading activities: Assessing trading activities and patterns to identify any suspicious or fraudulent activities and taking appropriate actions.
  • Identifying risks and recommending improvements: Identifying potential risks, loopholes, or areas of concern in trading operations and suggesting recommendations or implementing measures to mitigate those risks.
  • Collaborating with regulatory bodies and stakeholders (including MIIs): Liaising with relevant regulatory bodies, such as securities commissions or financial authorities, to share information, coordinate efforts, and ensure consistent enforcement of regulations
  • Providing guidance and training: Offering guidance and advice to market participants, brokerage firms, and listed companies on compliance matters and hosting training sessions to promote awareness and understanding of regulatory requirements.
  • Keeping up to date with regulations: Staying informed about the latest developments in stock exchange regulations, securities laws, and market practices to ensure inspections and recommendations are aligned with current standards.
  • Participating in industry initiatives: Engaging in industry working groups or committees to contribute to the development of new regulations or industry best practices.
  • Managing SEBI Circulars: Keep updated on SEBI circulars and ensure compliance within the organization.

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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