- Inspection - To ensure that BP are adhering to the norms stipulated by SEBI and NSDL.
- Conducting inspections and ensure timely submission of reports & subsequent compliances from BPs.
- Identification of process improvements in the existing processes.
- Valuable understanding of KYC framework and other application compliances.
- To complete the end-to-end process of monitoring receipt and review of all periodical submissions from Business Partners as per Compliance Calendar.
- MIS and periodic reporting to Management.
- Regulatory Reporting. Co-ordinate and facilitate with across departments to develop and/or enhance system controls, procedures and trainings.
- Proactive action to ensure correct and timely compliance of all required submissions by respective BPs.
- Processing of inspection related alerts.
- Interacting with MIIs /SEBI on compliance related matters.
- Communicate effectively and efficiently with relevant internal and external stakeholders.
📌 Support Group Executive (Mumbai)
🏢 National Securities Depository
📍 Mumbai
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