Looking for Compliance Officer @ Stockbroker

3 weeks ago

Ahmedabad, India ESTABIZZ FINTECH PRIVATE LIMITED Full time

Join at pioneering Stock broker firm for one of our client where integrity, transparency, and compliance are at the heart of everything do. The hunt for a detail-oriented Compliance Officer who's passionate about maintaining regulatory standards and enhancing our compliance frameworks.


Responsibilities

  • Interpret and implement directives from SEBI/Exchange/Depository, ensuring operational compliance.
  • Lead team efforts in inspecting AP, Remisiers, and managing submissions to exchanges.
  • Manage daily compliance activities including segregation and collateral reporting, settlement of funds, and RMS limits.
  • Ensure submission of Annual Returns, Net worth Certificates, various Audit Reports, and Risk-Based Supervision Reporting.
  • Oversee the submission and maintenance of AI and MI Reporting, Alerts Reporting, and Insurance Reporting.
  • Maintain Grievance and DP Tariff Structure Reporting.
  • Handle Limit Setting Reporting, Settlement of Funds & Securities, and Internet Trading Reporting.
  • Monitor and renew Bank Guarantees and update website and client login materials.
  • Perform weekly checks on reporting as required by the Exchange, FIU.
  • Daily monitor EPI and Address shortages through corrective steps.
  • Oversee Margin Pledge and Re-Pledge processes.
  • Manage daily STT, Stamp Duty, and Transaction Charge calculations.
  • Liase with all banks for daily operations including Payin, Payout, and Limit Utilisation.
  • Undertake Company Law activities such as drafting resolutions, minutes, and filing with MCA.
  • Ensure full compliance with SEBI rules, regulations, and circulars.
  • Handle document preparation for communication and follow-up with key exchanges and depositories such as BSE, NSE, CDSL, and more.
  • Guide the application process for approvals related to changes in shareholding patterns, promoter changes, and modifications in directorship.


Qualifications

  • Company Secretary with LLB is most preferred; others are also welcome
  • Experience in Stock Broking is must
  • Deep understanding of stock market operations and regulatory compliance.
  • Demonstrated experience in compliance within stock broker or financial / regulatory institution.
  • Knowledge in SEBI regulations, exchange/depository requirements.
  • Leadership experience with strong team handling capabilities.
  • Excellent organizational, analytical, and communication skills.


About Company

Organization and its group stands out as a premier broker firm in India, recognized for delivering reliable brokerage services along with sophisticated wealth management strategies. With our diverse clientele, we specialize in offering expert services across various sectors including Equity, Currency, Commodity Trading, and Derivatives. Our proficiency extends to the adept distribution of Mutual Funds, handling of IPOs, Portfolio Management Services, and facilitating seamless Online Trading and Depository Services.

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