Job Description

Position
Location
Qualification
Age Limit

Officer/Assistant Manager – Audit & Inspection

Corporate office, Mumbai

Bachelor’s degree

NA

Experience / Role :
Prior experience of Audit & Inspection, preferably in securities/ commodity industry and warehousing / exchanges/ clearing corporations. Minimum 3 years’ experience needed in relevant field.
Strong communication skills and proficiency in Word, Excel, Outlook, and PowerPoint.
Ability to understand and comprehend contents of agreement, balance sheet, annual report, legal notice etc.
Ability to manage complex projects and multi-task.
Ability to flourish with minimal guidance and be proactive.
High level of integrity and honesty is desired with a commitment to achieve management objectives.
:
Audit and Inspection of Repository participant (RP)
Ensure compliance with established internal control procedures by examining records, reports, operating processes and documentation.
Completes audit workpapers by documenting audit and findings
To check adequacy of internal control systems by completing audit questionnaires.
Communicate audit findings by preparing a report; discussing findings with auditees.
Contribute/ coordinate with internal operations team on related results as needed.
Ensure necessary documents / information as prescribed by CCRL are collected from different types of Client/Depositor for new account, modification, change in address, change in signature, change in name etc.; Signatures are appropriately scanned and uploaded.
The Tariff Sheet has been signed by the Client/Depositor at the time of account opening.
Rights and Obligations is signed by depositor/ client and RP is keeping it in records.
Deposit requests are processed as per the prescribed procedure.
Instructions from Client/Depositor are executed only on the basis of duly signed instruction slips or electronic instructions.
The instruction slips are checked and verified by two officials (maker-checker) separately for the correctness and signatures.
30 days’ notice is given to the Client/Depositor before closing his account, in case account closure is initiated by RP.
All formats used by the RP are in conformity with CCRL’s prescribed format.
Indictments or any other orders passed against the RP by any competent authority, if any, is notified to CCRL within 7 days of passing such order.
The Compliance Officer appointed by the RPs for the main RP office. The details of the compliance officer/ authorised signatories/ office address and change if any is informed by RP to CCRL.
RP follows maker-checker concept in all of its activities to ensure the accuracy of the data and as a mechanism to check unauthorised transaction.
Current CTC and Expected CTC to be mentioned clearly Deserving candidates fulfilling this criteria need to apply with subject title as CCRL
Please email your resume, mentioning the position applied for in the subject column at : careers@cdslindia.com