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Compliance Officer
1 week ago
With over a decade of experience, we offer a comprehensive range of investment avenues, including equity, derivatives, commodities, currencies, mutual funds, and wealth management.
Our focus is on providing long-term value to our clients while upholding the highest standards of excellence, ethics, and professionalism.
We are dedicated to ensuring that investors reach their financial goals and have served clients in 100+ locations throughout the nation.
Role DescriptionResponsibilities- To comply with Inspection and Compliance submission like Weekly Enhance submission, daily submission like Segregation and allocation of fund.
- To comply with margin reporting of all the clients and short allocation in exchanges.
- Collecting data for Inspection across Exchange / resolving inspection queries.
- To submit replies of alert generated by exchanges and submission of inspection observation reports.
- Regularly understanding circulars, the process's effect and implementation.
- Handle compliances applicable for Stock Broker related to SEBI and all Exchanges BSE, NSE, MCX and NCDEX.QualificationsCompliance Management and Regulatory Compliance skillsAnalytical skillsExcellent communication skillsChartered Accountants/Company Secretaries dropouts can also apply.
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