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

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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 a...