Role

Team Member Inspection - DM

Qualification

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

Location

BKC, Mumbai

Experience

5-7 yrs relevant experience

Job Description

- Conducting inspections and ensure timely submission of reports & subsequent compliances from BPs.

- Identification of process improvements in the existing processes.

- Positive 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.

📌 Team Member Inspection - DM (India)
🏢 National Securities Depository
📍 India