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Bajaj Financial Securities logo
Assistant Manager- AP, Branch Compliance & Inspection Bajaj Financial Securities

5.0 - 7.0 years

5 - 10 Lacs

pune

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Role & responsibilities: 1. AP Onboarding & Registration: Verify AP documentation and manage end-to-end AP registration, modification and termination processes with NSE, BSE, and other exchanges. Maintain updated master data for all APs and monitor validity and compliance requirements. 2. AP Inspection & Supervision: Plan, conduct, and document regular and surprise inspections of AP offices as per SEBI/Exchange guidelines. Identify control gaps, prepare inspection reports and ensure timely closure of observations. Maintain inspection MIS and assist in filing half-yearly/annual inspection submissions to Exchanges. 3. Regulatory Reporting & Correspondence Prepare and submit periodic regulatory...

Posted 1 hour ago

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