Job Description Details:

Position Name: Branch Compliance

No. of Requirements: Two (2)

Job Description: Branch Inspection and Audit to test regulatory compliance checks & balances 

Education: Graduation

Location: Two Noida

Salary Range expected to be offered: 3 to 5 lakhs

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 and 

Coordination with exchanges /regulators as and when required in the matter of Branch Inspection and Audit

   8. Requirements: 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