Job Description:

Location – Airoli

Experience in Internal audit and regulatory of stock broking .

only stock broking candidates

Position Purpose

To contribute towards business regulatory on the departmental level which will ensure compliances across the organization.

Responsibilities

Direct Responsibilities

Review of broking operation processes, remediation, and reporting in line with relevant regulatory requirements.

Preparation and maintenance of the list of regulatory requirements / regulatory tracker for all the business areas such as PMS, Research, Depository operations, Advisory business, etc. along with existing broking operations and review the compliance of regulatory requirements on periodical basis.

Drafting, implementation and execution of listed internal controls for all the critical operational processes and perform its independent testing on periodic basis.

Maintenance of Compliance trackers to ensure timely reporting for various regulatory submissions.

Implementation of Circulars issued by the Regulators.





Co-ordination with IT department for changes in process (wherever required) and assist in bugs resolution across various departments.

Undertake regular follow-up with Stakeholders for implementation and resolution of observations raised during audits/inspections.

Technical & Behavioral Competencies

Positive knowledge of broking business operations.

Knowledge of relevant and ongoing regulatory compliances.

Communication and interpersonal skills.

Handson with MS-Office

Review and Monitoring

Monitoring of critical operations processes and procedures in line with regulatory requirements

Review of broking operation processes, remediation, and reporting in line with relevant regulatory requirements.

Process Improvement

Process Review and Improvement

Drafting, implementation and execution of listed internal controls for all the critical operational processes and perform its independent testing on periodic basis

Audits

Assisting in Au

📌 Sr Manager- Internal audit and regulatory of stock broking, Airoli, Navi Mumbai
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