HO Ops - Sec. Backoff - Team Manager - West

Audits

·         Handling various Audits (Internal Audit, PMS audit, Statutory Audit, Sebi Audit ,Exchange Inspections) ensuring timely closures and maintaining the standardratings.

·         Coordinate with the different inhouse teams, inspection team and seniors for data requirement and closure of observations.

·         Prepare RCSA basis risk assessment including the recommended controls to mitigate identified risks.

·         Execute operational risk assessment of various departments as part of control assurance.

·         Investigate the cases triggered at different processes and business levels.

·         Tracking and Timely closure of audit actionable.

·         Ensuring in meeting the regulatory requirement.

·         Evaluating the processes and data as per regulatory checklists. Suggest changes to senior management using analytics to support the recommendations, actively participate in the implementations of approved changes

SOAX Management

·         Manage the functioning of SOAX Toolkit entailing:

-      Quarterly activity of managing SOAX.

-      Review of SOAX activities of various departments.

-      Guiding and training the team members for carrying out Soax activities.

-      Carrying out independent testing.

Management Information System (MIS)

·         Preparing and Publishing the MIS to senior management of various departments highlighting key areas of trade related activities on daily basis.

·         Preparing and analyzing customer grievances data and trying to identify respective measures on the issues highlighted.

·         Exception handling and reporting to the management.

·         Implementing operational risk control measures and governance checks to manage and reduce risk.

·         Timely review of operational processes and identify new control areas.