Compliance Executive

2 weeks ago


Ahmedabad, India Prudent Corporate Advisory Services Ltd. Full time

Prudent Corporate Advisory Services Ltd is urgently hiring for the post of Compliance Executive (Broking Compliance)


Location: Ahmedabad


Experience Required : Min 1 Year in Broking Compliance/Operations


Responsibilities :

· Dissemination of relevant circulars & notifications issued by regulators daily to respective departments and to track Actionable, circulars/Notifications for implementation /adherence of said circulars as a part of action point monitoring as and when applicable and to maintain MIS of the same.

. Do settlement of client balances (Fund/Securities) and have a brief knowledge of the same.

. Preparation of documentation of AP registration/cancellation and having brief knowledge of AP-related compliances.

. Providing NEAT / CTCL terminal and maintaining MIS for the same.

· Submission of Weekly / Monthly / Quarterly/half yearly and Annual regulatory returns to exchange(s) and to handle day-to-day Regulatory Compliance.

· To Co-coordinate with the exchange(s), clients, and departments for any compliance-related issues.

· Maintain Recording data of client's transactions.

· Preparation of various applications/documentation as per exchange rules & regulations.

. Prepare and maintain MIS.


Interested candidates can share their updated resumes at recruitment1@prudentcorporate.com



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