Manager - Inspection

1 week ago


Mumbai, Maharashtra, India National Securities Depository Limited Full time ₹ 12,00,000 - ₹ 18,00,000 per year

Role

Manager - Inspection

Qualification

CA/ICWA/CS/CFA/MBA or equivalent post graduate qualification from reputed/recognised institutes/universities.

Location

Mumbai

Experience

8-10 years

Job Description

  • Conducting inspections and ensure timely submission of reports & subsequent compliances from BPs.
  • Identification of process improvements in the existing processes.
  • Good understanding of KYC framework.
  • Performing the due diligence on Clients, requesting the KYC information, documentation, review, and verification of received documentation from the existing Clients.
  • To complete the end-to-end process of monitoring receipt and review of all periodical submissions from Business Partners as per Compliance Calendar.
  • Registration related activities in respect of DP i.e., to complete the end-to-end process for registration of Business Partners.
  • Performing the due diligence on Clients, requesting the KYC information, documentation, review, and verification of received documentation from the existing Clients.
  • Communicate effectively and efficiently with internal and external stakeholders.
  • MIS and periodic reporting to Management.
  • Updating of various databases related to Business Partners.
  • Regulatory reporting.
  • Co-ordinate and facilitate with across departments to develop and/or enhance system controls, procedures, and trainings.
  • Pro-active action to ensure correct and timely compliance of all required submissions by respective BPs.
  • Interacting with MIIs /SEBI on compliance related matters.
  • Communicate effectively and efficiently with relevant internal and external stakeholders.

PS: There will be extensive travel involved in this role hence please share profiles of candidates who are comfortable with the same.


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