Compliance Auditor
5 months ago
Compliance Officer / Auditor with more than 1 year of SEBI/exchange compliance work experience required at a consulting firm located in Malad, Mumbai
JD
- Assist in conducting audits for both Depository Participants (DPs) and stockbrokers, including semi-annual internal audits
- Ensure compliance with regulations from NSE, NSDL, CDSL, and SEBI during audits
- Daily submission of files and workings to the Exchange, including updating and uploading Authorized Person Files, monitoring client collateral segregation, supervising cash and equivalents, reconciling holding statements, and conducting risk-based supervision
- Analyze UCC billings, accounts, and other requirements as per the Exchange
- Send and implement circulars from SEBI, Exchanges, and Depositories
- Review various policies of the organization and research regulations related to compliance.
- Ensure PMS compliances, including half-yearly and disclosure documents, and make submissions of various regulatory reportings to regulators
- Identify areas for process improvement, prepare comprehensive audit reports, and audit areas related to the Code of Conduct for preventing insider trading and Compliance Reporting Framework, aligned with KYC & AML policies
Salary upto Rs 25 lakhs per annum
- Malad" mentioning your current salary, expected salary, notice period and reason to quit the current organization
**Salary**: Up to ₹2,500,000.00 per year
Schedule:
- Day shift
Supplemental pay types:
- Performance bonus
Application Question(s):
- What is your current monthly salary?
- What is your expected monthly salary?
- How soon can you join if shortlisted? (in days)
Work Location: In person
**Speak with the employer**
+91 8928440280
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