Review implementation of SEBI directives and verify departmental compliance through process
audit and control audit. Assist in implementation of organization’s Enterprise Risk Management
(ERM) framework. Getting exposure towards managing configuration and master parameters of
exchange trading systems and performing end to end trading operations.
Key Responsibilities :
Review implementation of SEBI circulars and verify departmental compliance through
process audit and internal audit
2. Classification of regulatory circulars / letters into action points with a specific timelines
3. Continuous review and maintenance of Compliance Checklist
4. Identify any regulatory directive/ guidelines that contain ambiguity and are open to
interpretation
5. Review processes with departments for complete implementation of regulatory guidelines
6. Track new circulars / guidelines issued by the Regulator
7. Work closely with Process Auditor team for imposing control
8. Trading Master maintenance, monitoring Trading operations and actions on member
terminal
9. Assist in compilation of Risk register towards implementation of ERM
10. Assistance in updating risk policies and procedure
CA Final
0-1 Years
Rs.50,000/- to Rs.150,000/-p.a.
CAclubindia
