Job Description

Role

Manager - Mumbai (Audit & Inspection)

Qualification

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

Location

Mumbai

Experience

More than 5-7 yr of experience



#

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.