Discussing with process owner and drafting SOP
Reviewing the process and identify inefficiencies in operational processes.
Identify and evaluate operational, financial, and regulatory risks and Identify control deficiencies and suggest improvements.
Timely Updating SOP with controlling version records.
Verify records and process related to client transactions, compliance, and operations.
Support in review of SEBI regulations, exchange rules, and internal policies.
Monitor and report compliance violations.

Candidates working for stock broking companies will be preferred.

Exposure of Internal Audit and SOP review is must.

Process Associate