Jobs

Interviews
Job Alerts
Tools

Upskill and Grow with AI

Mock Interview Practice interviews in realistic simulations

Coding Practice Improve your coding skills with challenges

Certification Earn certifications to validate your skills

AI Learning Get trained with AI expert sessions

Career Path AI insights for smarter career decisions

AI Job Match Score AI-Powered Job Match Against Your Resume and Optimize Your Resume

Career Tools and Resources

Resume Builder Build Professional Resume with Ease

ATS Friendliness Check Check Resume Friendliness for Applicant Tracking Systems

Auto Apply Apply to hundreds of jobs on any platform effortlessly

Co-Pilot (Chrome Extension) Your AI Assistant for Seamless Browsing Efficiency

Interview Questions Streamline interviews with ready-to-use questions

Salaries Discover market-driven salary insights across skillsets and geographies

Companies Explore leading companies actively hiring talent
For Employers

Home
>
Jobs in pune
>
Bajaj Financial Securities
>
Assistant Manager- AP, Branch Compliance & Inspection

Assistant Manager- AP, Branch Compliance & Inspection

Bajaj Financial Securities

5 - 7 years

5 - 10 Lacs

pune

Posted:-1 days ago| Platform:

Apply

Skills Required

regulatory reporting ap inspection governance regulatory compliance

Work Mode

Work from Office

Job Type

Full Time

Job Description

Role & responsibilities:

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.

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.

Regulatory Reporting & Correspondence

Prepare and submit periodic regulatory reports related to AP operations, structural changes, or compliance declarations.
Draft responses to Exchange/SEBI observations concerning AP or branch conduct.

Monitoring & Controls

Monitor adherence by APs to Exchange code of conduct, advertisement guidelines and investor awareness norms.
Track renewals of AP agreements, certifications (NCFM/NISM), and regulatory approvals.
Review and assist in updating AP-related SOPs and internal control policies.

Coordination & Governance

Liaise with Legal, Operations, and Business teams on day-to-day AP and branch compliance matters.
Conduct periodic awareness and training sessions for APs and staff on regulatory and AML updates.

Skills & Competencies

In-depth knowledge of SEBI and Exchange regulations governing APs and stock-broking operations.
Strong analytical, documentation, and report-writing skills.
Proficiency in MS Excel, Word, and compliance MIS tools.
Attention to detail and ability to handle multiple inspections simultaneously.
Willingness to travel for inspections and reviews.
Mind towards automation of regular activities

More Jobs at Bajaj Financial Securities

Data Engineer

Pune

2.0 - 5.0 yrs

INR 8 - 15 Lacs

Site Reliability Engineer - Infrastructure and DevOps

Pune, Mumbai (All Areas)

8.0 - 12.0 yrs

INR 10 - 20 Lacs

Sr. Manager GRC (Governance, Risk, and Compliance)

Pune

5.0 - 8.0 yrs

INR 8 - 18 Lacs

PCG Relationship Manager

Mumbai

4.0 - 6.0 yrs

INR 10 - 14 Lacs

Senior Software Engineer - Dot Net Backend Developer

Pune

4.0 - 6.0 yrs

INR 6 - 10 Lacs

Mock Interview

Practice Video Interview with JobPe AI

Start Job-Specific Interview

Start Your Job Search Today

Browse through a variety of job opportunities tailored to your skills and preferences. Filter by location, experience, salary, and more to find your perfect fit.