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Sr. Manager - Compliance

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We are looking for a candidate with 5+ years of relevant experience in broking compliance. The candidate should have strong knowledge and experience in conducting concurrent CDSL audit reports, internal audit reports, and AI-ML reporting on a quarterly basis. They should also have experience in handling inspections from SEBI, CDSL, and exchanges. The candidate must be self-driven, have an ownership mindset, and be able to aggressively drive and deliver results.

Requirement : 5+ Years of Relevant 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

-AI-ML reporting on quarterly basis

-Submission of Half yearly reports viz. System Audit, Cyber Security, Networth, etc.

-Action Taken reports of all audit observation post audit

-Handling inspections from SEBI, CDSL & Exchanges

-Segregation reporting - NSE & MCX

-Disseminating and implementation of circulars issued by regulators

-Providing data to auditors & various agencies

 

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 


 

Set alert for similar jobsSr. Manager - Compliance role in Mumbai, India
Upstox Logo

Company

Upstox

Job Posted

a year ago

Job Type

Full-time

WorkMode

On-site

Experience Level

3-7 Years

Category

Legal

Locations

Mumbai, Maharashtra, India

Qualification

Bachelor

Applicants

Be an early applicant

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