Sr Manager- Internal audit and regulatory of stock broking, Airoli, Navi Mumbai

Sr Manager- Internal audit and regulatory of stock broking, Airoli, Navi Mumbai

1 Nos.
80210
Full Time
8.0 Year(s) To 15.0 Year(s)
25.00 LPA TO 25.00 LPA
Legal & Regulatory / Company Secretary
Banking/Financial Services
MBA/MMS/MPM/PGDM - Other Management
Job Description:

Location – Airoli

Experience in Internal audit and regulatory of stock broking .

only stock broking candidates

Position Purpose

 To contribute towards business regulatory on the departmental level which will ensure compliances across the organization.

Responsibilities

 Direct Responsibilities

 Review of broking operation processes, remediation, and reporting in line with relevant regulatory requirements.

Preparation and maintenance of the list of regulatory requirements / regulatory tracker for all the business areas such as PMS, Research, Depository operations, Advisory business, etc. along with existing broking operations and review the compliance of regulatory requirements on periodical basis.

Drafting, implementation and execution of listed internal controls for all the critical operational processes and perform its independent testing on periodic basis.

Maintenance of Compliance trackers to ensure timely reporting for various regulatory submissions.

Implementation of Circulars issued by the Regulators.

Co-ordination with IT department for changes in process (wherever required) and assist in bugs resolution across various departments.

Undertake regular follow-up with Stakeholders for implementation and resolution of observations raised during audits/inspections.

 

Technical & Behavioral Competencies

Good knowledge of broking business operations.

Knowledge of relevant and ongoing regulatory compliances.

Communication and interpersonal skills.

Handson with MS-Office

 

Review and Monitoring

Monitoring of critical operations processes and procedures in line with regulatory requirements

Review of broking operation processes, remediation, and reporting in line with relevant regulatory requirements.

Process Improvement

Process Review and Improvement

Drafting, implementation and execution of listed internal controls for all the critical operational processes and perform its independent testing on periodic basis

Audits

Assisting in Audits and inspection

Undertake regular follow-up with Stakeholders for implementation and resolution of observations raised during audits/inspections

Regulatory Circulars

Implementation of Regulatory Circular within organization

Communication with relevant internal stakeholders for effective and timely implementation of Regulatory Circulars

Company Profile

its is the fifth largest retail brokerage full-service brokerage firm and the 8th largest stock broker in India with 676631 customers. Its is one of the pioneers of online trading in India.

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  • Recruiters will evaluate your candidature and will get in touch with you.

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