Role-Audit & Inspection
Designation -Assistant Manager
Qualification -CA/Inter CA / MMS / MBA
Inter CA/CS/ICWA/M.Com. First Class B. Com. Graduates will also be considered.
Reporting the summary of inspection findings to Senior Management.
Supervise Business Partners for ensuring timely compliance with SEBI and NSDL guidelines.
Travelling to locations for Audit mandatory.
Designation -Executive & Assistant Manager
Experience -3-7 years
1. Processing of Orders passed by SEBI & other Statutory Authorities
a. Execution of queries on datawarehouse system for extraction of account information of debarred entities and identification of the same.
b. Freezing/unfreezing of accounts of debarred entities as per the regulatory directions and maintaining records of the same.
c. Preparing reply/communication to the concerned authority and reporting compliance with the regulatory orders issued to NSDL for action.
2. Processing of Queries for SEBI, Stock Exchanges & other Statutory Authorities
a. Execution of queries on datawarehouse system for extraction of account information and transaction data as required by the authorities.
b. Preparing reply/communication to the concerned authority along with the desired information data and maintaining records of the same.
3. AML activities
a. Providing AML alerts generated by NSDL to Participants and FIU-IND on fortnightly basis.
b. Collating replies from Participants on number of STRs reported by them to FIU-IND and forwarding to SEBI on monthly basis.
c. Password reset for Principal Officer of DP for accessing AML alerts on i-Assist.
4. KYC Compliance activities
a. Sending communication to Participants seeking KYC reconfirmation on accounts identified during shortlisting exercise.
b. Follow-up with Participants and collating/maintaining Participants’ response on the same.
c. Preparing MIS of the same for Management information.
Please email your resume to