2

Inspection

Senior Manager

Postgraduate (Any Stream)

Basic knowledge of compliance and regulatory processes. Ability to review records and identify discrepancies. Proficiency in MS Excel and report preparation. Good analytical and documentation skills. Good communication and follow-up skills. Multi-tasking and team working skills

Assisting in inspection of broker members / market participants of the Exchange.

Reviewing compliance submissions from members and other market participants.

Monitoring ongoing compliance requirements applicable to Members and other market participants.

Following up for pending compliances and maintaining compliance trackers.

Preparing inspection observations, reports, and correspondence.

Supporting regulatory reporting, other inter departmental operational activities and record maintenance

1

Membership

AVP

Postgraduate (Any Stream)

Basic knowledge of financial markets operations and regulatory requirements. Good understanding of KYC/AML and documentation requirements. Good communication and drafting skills. Proficiency in MS Office. Multi-tasking and team working skills

Processing & reviewing of applications received from different market participants.

Following up for deficiencies and clarifications by applicant entities.

Preparation and maintaining onboarding & compliance records and MIS.

Coordinating with internal departments, members and different market

Assisting in ongoing compliance monitoring.

Supporting audits and inspections