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Position Senior Executive - Enforcement & Inspection
Department Enforcement & Inspection
Reporting To Vice President - Audit & Inspection
Experience Fresher
Location Mumbai
Qualifications Qualified Chartered Accountant
Specialist Skills Effective interpersonal verbal and written communication skills, Good analytical, judgmental and interpretative skills, Data gathering and interpretation skills
Job Purpose

Monitor the continuing relevance of the current Internal Audit policies, procedures and standards to the current and future activities and gain approval for any necessary changes in order to ensure the ongoing validity of the audit processes as a basis for minimizing risk and preventing loss• Review audit results, evaluate the findings, lapses and weaknesses with a view to recommend improvements in the current operating practices and procedures. Communicate any finding of a serious nature to Board/ Audit committee to take immediate corrective action• Establish individual objectives and his own plans for himself and also for each team member/consultants and supervise their activities and review their work to ensure the timely completion of audit in conformance with acceptable standards•

Job Responsibilities Audit of Members of Exchange in accordance with established rules and regulations and circular provisions of SEBI with in TAT • Establish individual objectives and plans for each team member and supervise their activities and review their work to ensure the timely completion of audit in conformance with acceptable standards. • Review and analysis of data under various circular guidelines of SEBI like, Enhanced Super vision of stockbroker submissions, Risk based supervision submissions of members and any other future regulatory requirements • Review of reports of Internal audit and system audits of members and associated entire mechanism including review of control sheets and letters issuance
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