7 Job openings found

Review and defining processes for implementation of various circulars issued by Exchanges, Depositories, SEBI etc. Day to day query handling in relation to regulatory area of SEBI, Exchanges & Depositories. Conduction Audit /review of various activity for Broking, DP ,PMS & Branch inspections Handling Regulatory Inspections & Internal Audit Independently Liaison with Regulators Ensuring timely ...

 Team Management of Qas on Transaction Audit for Branch Managers Other Verticals.  Audit Completion on Time  Timely feedback sharing with Stakeholders  Identifying Gaps and share recommendations  Identifying TNI and sharing with Training Teams  Audit the Auditor to maintain accuracy  Individual Role in driving compliance requirements with Branch Managers/Partners  Managing Compliance Case  Working on multiple compliance projects

Accounting of Fixed deposit transactions (receipts and accruals) including preparation of monthly Income summary statement & Finance related disclosure. FD MIS (including Arbitration FDs) , B.G. MIS, MF MIS & OD Cost working (overall correctness and accuracy in calculations). Monthly working of ICD &Interest calculations. Handling audit & Limited Review (LR) of above ...

Filing of overseas Direct Investment Form as and when required & timely filing of Annual Performance Reports . Replying & attending in person with Management to notice/summons from RBI & Enforcement Directorate etc. on overseas entities. Arranged all the information & replies required for successful completion of forensic audit for all foreign ...

To manage Daily Reconciliation and funding of NEFT/RTGS transaction process through NET Banking. Process documentation audit and ensuring compliance Responsible for maintaining and adhering TAT. Compliance to Bank’s internal circular & regulatory advisory  Candidate should have a strong understanding of payment processing rules, regulations, and industry standards. Candidate should have a risk-based approach / ...

Handling the Counseling / Sr. Counseling Team ( 5-7) in a particular city Providing end-to-end counseling to parents and students with the right solutions forevery student’s individual requirement. Ensuring Daily, Monthly, Quarterly targets of Input/output metrics are met Ensuring Last mile conversion push to the counselors in the respective city The overall effectiveness of ...

Responsible for Retail Securities Settlement / Managing Payin Payout of  Shares Auction Settlement & Closeout Corporate Action handling – Identification of clients eligible to receive -Corporate Action benefits and on time distribution of the same to such eligible clients (Dividend / Bonus /Split / Sub-Division / Merger /Demerger) Processing of Shares Pledge / Unpledge ...