Inspection - To ensure that BP are adhering to the norms stipulated by SEBI and NSDL.
Conducting inspections and ensure timely submission of reports & subsequent compliances from BPs.
Identification of process improvements in the existing processes.
Good understanding of KYC framework and other application compliances.
To complete the end-to-end process of monitoring receipt and review of all periodical submissions from Business Partners as per Compliance Calendar.
MIS and periodic reporting to Management.
Regulatory Reporting. Co-ordinate and facilitate with across departments to develop and/or enhance system controls, procedures and trainings.
Proactive action to ensure correct and timely compliance of all required submissions by respective BPs.
Processing of inspection related alerts.
Interacting with MIIs /SEBI on compliance related matters.
Communicate effectively and efficiently with relevant internal and external stakeholders.
