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Compliance Executive

4 months ago

Ahmedabad, India Prudent Corporate Advisory Services Ltd. Full time
Prudent Corporate Advisory Services Ltd

is urgently hiring for the post of

Compliance Executive (Broking Compliance)

Location:

Ahmedabad

Experience Required : Min 1 Year in Broking Compliance/Operations

Responsibilities :· Dissemination of relevant circulars & notifications issued by regulators daily to respective departments and to track Actionable, circulars/Notifications for 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 have a 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 maintaining 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 client's transactions.· Preparation of various applications/documentation as per exchange rules & regulations.Prepare and maintain MIS.

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