Summary

What You Will Do: 

1. Coordinate independently with concurrent auditor to complete the monthly audit.
2. Ensure client onboarding , off boarding and modification process have been monitored and Nill observation during audit.
3. Complete the concurrent data submission to auditor before TAT.
4. Clarify all observations and ensure NIL observation in Concurrent audit.
5. Handle Exchange and Depository, Research analyst regulatory reporting.
6. Ensure the monthly regulatory reporting as per calendar have been completed before TAT.
7. Ensure Quarterly settlement process has been completed and verified without any observation.
8. Process MTF reporting to both the Exchanges on daily basis.
9. Ensure Segregation reporting on daily basis to bot the Exchanges.
10. Verify enhance supervision data on weekly basis and monitor it.
11. Manage half yearly audit data submission and Exchange Inspection data preparation within the TAT.
12. Ensure all regulatory submissions and compliance on timely basis without any deviation.
13. Manage Stock Broking compliance as per SEBI, Exchange and Depository guidelines.

What You Should Have:

1. Bachelor’s degree
2. Minimum 3+ years of experience in regulatory compliance with specializations in KYC/AML and transaction monitoring.
3. Experience in regulatory guidelines around AML and KYC rules in India and regulatory reporting.
4. Experience working with third-party data sources KYC providers etc.
5. Experience in financial services transaction data analysis
6. Passionate about fighting financial crime with great knowledge of financial crime risks.
7. Highly data driven, comfortable in setting goals and KPIs, forecasting and planning.
8. Strong attention to detail and communication (written and verbal), time management, analytical, and investigative skills.
9. Experience in drafting STRs and writing ground of suspicion
10. Ability to handle huge data
11. Well versed with MS Office and other common analytical tools

Skills

• Analytical Thinking
• Attention to Detail
• Communications Skills
• Compliance Knowledge
• Team Collaboration