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22 Multi Commodity Exchange of India Jobs
Head of Department - Inspection and Audit
17-20 years
Mumbai
1 vacancy
Head of Department - Inspection and Audit
Multi Commodity Exchange of India
posted 2d ago
Job Role Insights
Flexible timing
Key skills for the job
Job Description
Qualification Profile Preferably CFA / CA / CS / Post Graduate. Other qualification with relevant experience
17-20 years relevant experience
- Selection of Members for Inspection
- Timely Completion of all on-site Inspections as per selection list and continuous improvement in the quality, coverage and depth of inspections of members
- Tracking and completion of post-inspection enforcements and regulatory enforcements related to non-compliances referred by member supervision verticals
- Compliance with Regulatory requirements
- Improving engagement at internal stakeholder level
- Carrying out Member s and Member Auditors training
- Interacting with Regulator and prompt response to their queries
- Offsite Supervision of members and enabling transition to a framework for offsite, real-time, alert-based due diligence on members
- Submission of compliance reports / certificates to management and / or CRO with exceptions, if any, and action plans for remediation
- Coordinate and provide relevant information and clarifications to the Auditors and Inspections carried out by the Regulators.
- Ensure compliance with applicable Regulatory requirements, including those specifiedin SECC Reg., 2018 and other applicable Acts/Regulations, Circulars, guidelines.
- Ensure Implementation of the SEBI Circulars and in case the same cannot be implemented regulator and CRO s office should be informed.
- Ensure implementation of risk management framework in day-to-day operations
- Inform any mishap / incident to concerned Risk Management team officials on real time basis.
- Coordinate and provide relevant information and clarifications to the Auditors and Inspections carried out by the Regulators.
- Percolate the corporate culture across departments through behaviour, actions and effective communication (Integrity, respect for individual, transparency in dealings, high productivity environment with clearly defined accountability)
- Ensure implementation of risk management framework - creation of EWS framework where possible, raising EWS alerts /processing EWS alerts from other MIIs, raising PMLA alerts / STR alerts to Principal Officer based on observed information / suspicions
- Responsibility of communication of Agenda and finalisation of Minutes of various applicable committees (eg. MCSGFC, ROC, etc) and / or Board, within timelines advised by the committee(s) and Secretarial department
- Ensuring proper and accurate database management
- Ensuring timely and accurate MIS
- Continuous improvement in efficiency of operations and member supervision through automation
- Identifying potential strengths and weakness of team members and recommending trainings / providing on-the-job trainings
- Ensuring quality consciousness in the activities and output of the department
- Ensuring quality Cross-functional / cross-departmental information exchange and quality deliberations
- Creating & maintain functional and task-based accountability and responsibility matrices of Inspection & Enforcement activities
Employment Type: Full Time, Permanent
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