Assistant Compliance Manager
3 weeks ago
Role : Assistant Compliance Manager (Stock Broker/ Research Anayst (RA)/ Depository Participant (DP). Entity : Ashika Stock Services Ltd. Job Location : Head Office Trinity Towers, AJC Bose Road, Kolkata. About Us :- With over 31 years of trust and industry expertise, Ashika Stock Services Ltd is a SEBI-registered stockbroker and a proud member of all major Indian exchanges, including NSE, BSE, MCX, NCDEX, and MSEI.- We are also registered as a depository participant with both CDSL and NSDL, a SEBI-registered Research Analyst, and an AMFI-certified mutual fund distributor.- Headquartered in Kolkata with a strong operational presence in Mumbai, our dedicated team of nearly 300 professionals is committed to delivering dependable, client-focused financial solutions across a broad spectrum of investment needs. Role Responsibilities:- Ensure timely and effective implementation of circulars, directives, and guidelines issued by regulatory authorities and stock exchanges.- Prepare and coordinate the compilation of documentation and data for regulatory inspections, conducting detailed analysis in collaboration with relevant departments, and promptly escalate any critical findings or observations to the Compliance Officer.- Manage investor complaints received via SMART ODR, SEBI SCORES, and other direct channels, ensuring prompt and effective coordination with relevant departments.- Conduct detailed analysis of each complaint and prepare comprehensive reports for review and approval by the Compliance Officer.- Verify the details of IBT, CTCL, and other system configurations to ensure full compliance with regulatory requirements and internal standards.- Develop and implement monitoring mechanisms to detect and address discrepancies in contract notes, daily margin statements, client segregation and holdings, ensuring strict adherence to standards prescribed by the exchanges.- Maintain comprehensive records pertaining to Authorised Persons, including their registration, termination, inspections, and periodic reporting, in accordance with applicable exchange regulations and guidelines.- Oversee compliance and regulatory reporting obligations related to Research Analyst activities and ensuring adherence to SEBI regulations.- Facilitate the timely and accurate resolution of surveillance alerts issued by exchanges, SEBI, or internal monitoring systems by coordinating effectively with relevant departments, clients, Authorised Persons, and regulatory bodies. Role Requirements:- Postgraduate qualification in any discipline.- 5 to 9 years of dedicated experience in Broking Business, Research Analyst (RA), and Depository.- Participant (DP) compliance.- Excellent command of the English language, both written and verbal.- Proficiency in Microsoft Office, including Word, Excel, and PowerPoint.- Professional appearance and grooming.- Strong enthusiasm for continuous learning and professional development. Compensation& Benefits:.- Attractive annual CTC (among the best in the industry), commensurate with experience and qualifications.- In-depth exposure to high-level compliance functions across all exchanges and regulatory bodies.- Direct mentorship from senior leadership, including the Compliance Officer.- A collaborative and forward-thinking work environment that fosters initiative and supports career growth and advancement. (ref:iimjobs.com)
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