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Compliance Executive intern

3 months ago

Surat, Gujarat, India Estabizz Fintech Private Limited Full time
Job Description
Handling all Compliances related to SEBI and various Exchanges in Cash, F&O, Currency and Commodity Segments
Adhering into Compliance calendar of all Exchanges in all segments
Responsive & Written Correspondence with SEBI & various Exchanges
Preparation of MIS reports
Filing, drafting replies of matter related to arbitration, SEBI and all exchanges.
Handling IGRC matters with BSE and NSE and resolving client complaints
Coordinating with legal counsels and advisors
Handling compliances related to PMS , DP & Broker
Taking care of timely Reporting related to Exchange . Checking the data of reporting through different aspects and identify the problems in the data part of reporting
Reading Circulars and amendments
taking care of Internal Audit
Taking care of AP and Audit part
MOM Drafting and updating to the concern

Educational Qualifications:
Candidate should be a graduate. He / She may have a degree of LLB / LLM (corporate & securities law) / Company Secretary.

Required Skills:
Well versed with handling of all Compliance & Legalities
Tech savvy & systems oriented
Good spoken and written English
Convincing Abilities

Candidate would be required to liaise closely with business & support groups mainly, Settlement-DP, Client Account, Marketing, Branches, Sub-brokers & all the associates.