Sr Manager- Internal audit and regulatory of stock broking, Airoli, Navi Mumbai
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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- Interested candidates are requested to apply for this job.
- Recruiters will evaluate your candidature and will get in touch with you.