Inspection

Job description

We are hiring for Inspection role in our Compliance team. The role involves conducting branch inspections, monitoring regulatory compliance, identifying compliance gaps, ensuring adherence to SEBI, NSE, BSE and internal policies, preparing inspection reports, and coordinating with stakeholders for timely closure of observations. Candidates with experience in stock broking, financial services, regulatory compliance, internal audit, or compliance inspection are preferred. **Key Responsibility** 1.Onsite and offsite inspections of SEBI & Exchanges Handling onsite and offsite inspections of SEBI & Exchanges 2.Compliance & Regulatory Audits - Handling broking and non-broking audits - Perform regular compliance audits to ensure adherence to laws, regulations, and company policies. 3. Risk Assessment: - Identify and evaluate potential compliance risks and recommend mitigation strategies. 4. Policy Review: - Review and update compliance policies and procedures to reflect current regulations and best practices. 5. Documentation: - Maintain comprehensive records of compliance activities, audit findings, and corrective actions taken. 6. Training & Support: - Develop and deliver training programs to educate employees about compliance requirements and best practices. 7. Reporting: - Prepare detailed reports on audit findings, compliance status, and improvement recommendations for senior management. 8.Investigations: - Conduct investigations into compliance breaches or potential violations and recommend appropriate actions 9. Collaboration - Work closely with other departments to support compliance initiatives and ensure alignment with organizational goals.