Compliance Executive

4 weeks ago

Meerut, Uttar Pradesh, India Prudent Corporate Advisory Services Ltd. Full time

Prudent Corporate Advisory Services Ltd is urgently hiring for the post of Compliance Executive- Broking.

Location : Ahmedabad

Experience Required : Min 1.5 Years in Broking

Job Description :

  • Dissemination of relevant circulars & notifications issued by regulators on daily basis to respective departments and to track Actionable, circulars/Notifications with respect to 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 having 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 maintain of 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 clients transaction.
  • Preparation of various applications / documentation as per exchange rules & regulation.
  • Prepare and maintain MIS.

Interested candidates can share their updated resume on recruitment1@prudentcorporate.com

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