01 Dec 2023
ptLD
Sr. Manager - Compliance, 4 to 8 years in Mumbai
Upstox
Mumbai
6-8 Years
Compliance, Cdsl, Stock Exchange, Audit Report, Broking Compliance, Regulatory Compliance, SEBI
Job Description
Position: Sr. Manager - Compliance
Qualification: CA
Experience: 4 to 8 years
Location: Mumbai
Job description
Qualification: CA
Experience: 4 to 8 years
Location: Mumbai
Job description
The Upstox Story:
About Team:
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance assess the firms compliance, regulatory and reputational risk, monitors for compliance with new or amended laws , rules , regulations and guidelines, designs and implements controls, policies , procedure, conducts surveillance , monitors for compliance risks and breaches and leads the firms response to regulatory examination, audits and inquiries.
We are looking for who possess sound judgment, adaptable to changing regulatory landscape . You will be part of a team with members from a wide range of academic and professional background.
Requirement :
- Qualified CA with 4-5 years of experience in similar Industry (Broking Compliance)
- Concurrent CDSL audit report - guiding audits and submission of report
- Internal audit report - Providing data, guiding audits and submission of report
- Experience in providing MIS to management and expert in coordination with multiple departments to understand the process gap and provide corrective action
- Action Taken reports of all audit observations post audit.
- Should be able to Handle any inspections from SEBI, CDSL & Exchanges & should have bird’s eye in data that is being provided w r t accuracy.
Psst tips on how you can beat the competition:
If you can showcase your abilities to:
• Be self-driven / quick starter
• Have an ownership mindset
• Aggressively drive and deliver results
About Team:
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance assess the firms compliance, regulatory and reputational risk, monitors for compliance with new or amended laws , rules , regulations and guidelines, designs and implements controls, policies , procedure, conducts surveillance , monitors for compliance risks and breaches and leads the firms response to regulatory examination, audits and inquiries.
We are looking for who possess sound judgment, adaptable to changing regulatory landscape . You will be part of a team with members from a wide range of academic and professional background.
Requirement :
- Qualified CA with 4-5 years of experience in similar Industry (Broking Compliance)
- Concurrent CDSL audit report - guiding audits and submission of report
- Internal audit report - Providing data, guiding audits and submission of report
- Experience in providing MIS to management and expert in coordination with multiple departments to understand the process gap and provide corrective action
- Action Taken reports of all audit observations post audit.
- Should be able to Handle any inspections from SEBI, CDSL & Exchanges & should have bird’s eye in data that is being provided w r t accuracy.
Psst tips on how you can beat the competition:
If you can showcase your abilities to:
• Be self-driven / quick starter
• Have an ownership mindset
• Aggressively drive and deliver results