Regulatory

Officer / Asst. Manager / Deputy Manager - Admission Cell

Position
Location
Qualification
Age Limit

Officer / Asst. Manager / Deputy Manager

Mumbai

Graduate/Postgraduate/MBA

30 Yrs.

**Experience & Role**:

- Minimum 5-10 years work experience in Capital markets preferably in depository related operations, Market Infrastructure Institutions (MIIs) etc.
- Well conversant with depository operations. Good analytical and verbal & written Communication skills.
- Ability to multi-task, set priorities and manage time effectively.
- Co-ordinating with RTAs / Issuer Companies / Exchanges / market participants and other departments in the organisation.
- Preparing various reports / MIS to be submitted to senior management.

Current CTC and Expected CTC to be mentioned clearly

Manager - Data Mining

Position
Location
Qualification
Age Limit

Manager - Data Mining

Mumbai

Graduate / Post Graduate

up to 40 years

**Experience & Role**:

- Minimum 7-8 years of experience in capital market preferably in Depository related operations, Stock Exchanges, Brokerage Houses
- Knowledge of regulatory compliance / Foreign Investment by Listed Companies.
- Conversant with Survelliance (demat / trading) and depository operations
- Prior experience of working in team of 3-4 people. Ability to multi-task, set priorities and manage time effectively
- Good communication and statistical skills
- Proficient in Microsoft Excel, Word.
- Responsible for processing of regulatory orders on day-to-day basis.
- Co-ordinating with SEBI / Exchanges / Depository Participants.
- Submission of reports to regulator on periodic basis
- Preparation of MIS
- Working in shifts may be required.

Current CTC and Expected CTC to be mentioned clearly

Officer/Assistant Manager - Audit & Inspection

Position
Location
Qualification
Age Limit

Officer/Assistant Manager - Audit & Inspection

Corporate office, Mumbai

Bachelor’s degree

NA

**Experience / Role**:

- Prior experience of Audit & Inspection, preferably in securities/ commodity industry and warehousing / exchanges/ clearing corporations. Minimum 3 years’ experience needed in relevant field.
- Strong communication skills and proficiency in Word, Excel, Outlook, and PowerPoint.
- Ability to understand and comprehend contents of agreement, balance sheet, annual report, legal notice etc.
- Ability to manage complex projects and multi-task.
- Ability to flourish with mínimal guidance and be proactive.
- High level of integrity and honesty is desired with a commitment to achieve management objectives.

Audit and Inspection of Repository participant (RP)
- Ensure compliance with established internal control procedures by examining records, reports, operating processes and documentation.
- Completes audit workpapers by documenting audit and findings
- To check adequacy of internal control systems by completing audit questionnaires.
- Communicate audit findings by preparing a report; discussing findings with auditees.
- Contribute/ coordinate with internal operations team on related results as needed.
- Ensure necessary documents / information as prescribed by CCRL are collected from different types of Client/Depositor for new account, modification, change in address, change in signature, change in name etc.; Signatures are appropriately scanned and uploaded.
- The Tariff Sheet has been signed by the Client/Depositor at the time of account opening.
- Rights and Obligations is signed by depositor/ client and RP is keeping it in records.
- Deposit requests are processed as per the prescribed procedure.
- Instructions from Client/Depositor are executed only on the basis of duly signed instruction slips or electronic instructions.
- The instruction slips are checked and verified by two officials (maker-checker) separately for the correctness and signatures.
- 30 days’ notice is given to the Client/Depositor before closing his account, in case account closure is initiated by RP.
- All formats used by the RP are in conformity with CCRL’s prescribed format.
- Indictments or any other orders passed against the RP by any competent authority, if any, is notified to CCRL within 7 days of passing such order.
- The Compliance Officer appointed by the RPs for the main RP office. The details of the compliance officer/ authorised signatories/ office address and change if any is informed by RP to CCRL.
- RP follows maker-checker concept in all of its activities to ensure the accuracy of the data and as a mechanism to check unauthorised transaction.

Assistant Manager in Regulatory Correspondence department

Position
Location
Qualification
Age Limit

Assistant Manager in Regulatory Correspondence department

Mumbai

BCom/MCom/MBA/CS

Upto 30 years

**Experience / Role**:
Minimum 2+ Years work experience in compliance departments or regulatory interface departments of banks, top broking firms, other institutions in capital markets or financial services.
- Good verbal and written Communication skills.
- Experienc