Compliance Executive

4 weeks ago

Gurugram, India Graviton Research Capital LLP Full time

We are seeking a skilled Compliance Executive to join our team. The ideal candidate will have 4 to 6 years of experience, preferably with an MBA in Finance. The Compliance Executive will be responsible for ensuring compliance with regulatory requirements and internal policies. This role involves daily compliance tasks, documentation, system audits, cyber audits, and client-related compliance activities.


Responsibilities:

  • Ensuring compliance requirements as per Exchange/SEBI Regulations.
  • Ensuring Exchange / SEBI reporting regularly.
  • Assisting to internal auditors for conducting internal audits of all exchanges on a regular and Periodic basis
  • Responsible for management of business reporting and any ad hoc reporting from time to time. Proficient knowledge of MS Office is a must
  • Addressing internal queries, data requirements and escalations
  • Manage and control overall functioning and supervision of the Depository operations.
  • Manage NSE/BSE/CDSL and SEBI inspection and data submission.
  • Aware of recent circular issued by various regulators like SEBI, RBI and issued by stock exchanges like NSE, BSE & MCX. Also, shall be aware of circular and regulation issued by NSDL
  • Document Preparation/Submission with exchange for any change at Member end and Follow-ups with the exchanges to obtain the necessary approvals
  • Well versed with process of client-related compliance, including client onboarding and due diligence
  • Handle client complaints


Requirements:

  • Bachelor's degree in Finance, Business Administration, or related field (MBA preferred).
  • Have minimum 4 To 6 years of work experience in stock broking and DP operations
  • Experience of back office/DP-operations work in a Stock broking/Securities firm, Mutual Fund,etc.
  • Strong understanding of regulatory requirements and compliance standards.
  • Strong analytical acumen and problem solving
  • Ability to adapt to changing regulations and business needs.
  • Demonstrate deep understanding of stock broking business
  • Be highly data-driven and adept at balancing needs with business goals

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