AM DM Inspection

TopGear Consultants Pvt Ltd.; Mumbai; On-site; INR 600,000 - 1,200,000; Full time

Job summary

TopGear Consultants Pvt Ltd. in Mumbai seeks an Assistant Manager/Deputy Manager for regulatory inspection roles. You will conduct onsite and offsite inspections, monitor member data, draft reports, and expand inspection scope as needed.

The role requires 6 months to 3 years in financial services with CA/MBA finance and NISM/NIFM certifications. Selected candidates will perform data collation for SEBI/NSE regulators, prepare observations, and coordinate closure meetings with managers.

Qualifications

• CA/MBA finance with certifications from NISM and NIFM.
• 6 months to 3yrs work experience in financial organisations.
• Knowledge of statutory requirements applicable to the financial markets.
• Should have excellent verbal & written communication skills.

Responsibilities

• Conduct onsite and offsite inspections for members as per the quarterly inspection calendar and pre-approved checklists.
• Monitor data submitted by trading members to the Exchange and ensure accuracy.
• Draft inspection reports and expand inspection scope after consulting the manager.
• Prepare preliminary observations and schedule closure meetings between member and manager.
• Verify inspection reports prepared by the team and escalate non-cooperation or data delays as needed.
• Conduct compliance visits for new members/brokers to explain requirements and processes.

Skills

Communication skills

Regulatory knowledge

Finance certifications

Education

CA or MBA Finance

NISM/NIFM certifications

Job description

Regulatory inspection role. Job_46

DM Inspection ( Onsite/Offsite) . Count of open positions 10 nos (AM/DM)

Position Assistant Manager/ Deputy Manager
Location Mumbai, Kurla ( Western Regional office)

• CA/MBA finance with certifications from NISM and NIFM
• 6 months to 3yrs work experience in financial organisations.
• Knowledge of statutory requirements applicable to the financial markets.
• Should have excellent verbal & written communication skills.

Note: Additional responsibilities may be added from time to time depending on organisational requirements.

Job profile :

Onsite & Offsite inspection/ compliance visits:

• Conduct inspection on members site as per the inspection calendar for the quarter following a pre-approved checklist or conduct inspection on members offsite based on alerts received.
• Continuous monitoring of the data submitted by the trading member to the Exchange.
• Draft the inspection report for the member.
• Expand the scope of inspection beyond the pre-approved checklist after consulting manager.
• Prepare the preliminary observation sheet for the inspection and schedule the closure meeting between the member and manager.
• Verify the inspection report prepared by the maker.
• Conduct compliance visits for new members/ brokers to acquaint them to the compliance requirements and inspection process.
• Escalate matters like non-co-operation of member/delay in furnishing data to the respective Manager.

Data collation and analysis for daily reports and adhoc requests:

• Collate data to cater to the request raised by external regulators like SEBI and various internal departments within NSE.
• Collate and analyse data from other exchanges and internal NSE departments for reports.

Conduct training/ awareness programs

• Organize/Coordinate/conduct training programs for TMs/ APs
• Organize/ Coordinate/ Conduct investor awareness programs.

Preferable Industry : Investment services, Financial data management companies , CA firms, Broking firms.

Selected candidates will have to undergo a mandatory Excel and English assessment to proceed with their candidature