Our client is one of India's leading securities depositories, providing electronic infrastructure for holding and managing securities in Demat form. The organization plays an important role in India's capital market ecosystem, working with Depository Participants and other market intermediaries.
Job Purpose To conduct inspections and monitor regulatory compliance of the organization's Business Partners (BPs), ensuring adherence to applicable SEBI regulations, KYC requirements, operational procedures and compliance guidelines.
Key Responsibilities
- Conduct inspections of Business Partners and ensure timely submission of inspection reports.
- Monitor compliance with SEBI regulations, KYC guidelines and other applicable regulatory requirements.
- Review and monitor periodic submissions from Business Partners as per the Compliance Calendar.
- Identify compliance gaps, process deviations and opportunities for process improvement.
- Prepare MIS, inspection reports and periodic management reports.
- Ensure timely completion of regulatory reporting and subsequent compliance activities.
- Coordinate with internal departments to strengthen system controls, procedures and compliance processes.
- Monitor and process inspection-related alerts and ensure appropriate action.
- Coordinate with Market Infrastructure Institutions (MIIs), SEBI and other relevant stakeholders on compliance-related matters.
- Follow up with Business Partners to ensure timely submission of mandatory documents and reports.
Eligibility Criteria
- Educational Qualification: CA / CS / MBA / LLB / LLM / Postgraduate degree is mandatory.
- Relevant experience in Inspection, Internal Audit, Regulatory Compliance, Risk Management, Financial Services or Capital Market Operations.
- Good understanding of SEBI regulations, KYC framework and compliance procedures.
- Strong analytical, reporting and documentation skills.
- Good communication and stakeholder management abilities.
- Proficiency in MS Excel, MIS and reporting.
Work Requirements
- The role involves extensive pan-India travel for conducting inspections.
- Candidates must be comfortable with frequent travelling.
- Immediate joiners, candidates serving notice period or those available to join within 30 days will be preferred.
- Face-to-face interview process.
Interested candidates can share their updated CV. Referrals are also welcome!