Risk and Compliance Monitoring

5 days ago

Mumbai Maharashtra, India Raj Enterprises Full time

**Job Title**: Deputy Manager / Manager - Off-site Monitoring & Risk Supervision
**Location**: Mumbai
**Experience**:

- Deputy Manager: 1-4 years post-qualification
- Manager: 5-8 years post-qualification

**Qualification**: CS / CA / MBA (Finance preferred)**Key Responsibilities**:
**1. Off-site Monitoring of Stock Brokers**:

- Monitor and review submissions by trading members to ensure compliance.
- Identify early warning signs and red flags through risk evaluation.
- Ensure proper documentation and follow-ups with members.
- Coordinate with internal departments and regional teams for issue resolution.

**2. Risk-Based Supervision**:

- Analyse financial submissions using ratios and other assessment tools.
- Evaluate and identify high-risk members based on predefined parameters.

**3. Data Analysis & Reporting**:

- Collate and analyse data from internal systems and other exchanges.
- Use data analytics tools to generate reports for early risk identification.

**4. Limited Purpose Inspections (LPI)**:

- Determine cases for LPI and monitor the inspection process.
- Review reports and share findings with SEBI as required.

**5. IT Coordination**:

- Collaborate with IT for system enhancements and testing.
- Support users with system access, testing, and business continuity activities.

**6. Other Activities**:

- Handle regulatory queries from SEBI or members.
- Support investor awareness campaigns.
- Prepare and submit reports to regulatory authorities and for board meetings.

**Performance Expectations**:

- Timely completion of inspections and compliance reports.
- 100% adherence to internal processes and SLAs.
- Minimum 40 hours of training per year.

**Skills Required**:

- Strong knowledge of financial markets and regulatory frameworks
- Excellent analytical and reporting skills
- Proficiency in MS Office (especially Excel); knowledge of analytics tools is a plus
- Good communication and coordination abilities

Pay: ₹1,000,000.00 - ₹1,300,000.00 per year

**Benefits**:

- Health insurance
- Paid sick time
- Paid time off
- Provident Fund

Schedule:

- Day shift

Supplemental Pay:

- Commission pay
- Performance bonus

Work Location: In person

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