Position
Team Member Inspection - DM
Role
Team Member Inspection - DM
CTA Text
Job Description
Location
BKC, Mumbai
Qualification
CA/ICWA/CS/CFA/MBA or equivalent post graduate qualification from reputed/recognised institutes/universities
Experience
5-7 yrs relevant experience
Job Description
- 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.
Order
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