Qualification : Graduation
Responsibilities:
- Physical audit of branches located in pan India to check adherence to regulatory compliance and internal compliance.
- Training branch staff to regulatory branch compliances and other compliance policies/processes of the company.
- Timely submission of observation reports Inspection to the manager and corrective action
- Well-versed and updated with regulatory guidelines.
- Planning and Inspect a defined number of branches in an FY
- Coordination with exchanges /regulators as and when required in the matter of Branch Inspection and Audit
Mandatory Skills:
- 2+ years of experience in Inspection and Audit to test regulatory compliance checks and balances
- Effective communicators, good at building collaborative relationships
- Good in MS Excel, data analytics, and presentation in the report
- Knowledge of capital markets and experience would be preferred