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Compliance Officer

1 month ago

delhi, India Nine Star Broking Pvt Ltd Full time
Company Description
Nine Star Broking Private Limited is a well-diversified financial broking house located in Jodhpur, India. 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 Description
Responsibilities
•⁠ ⁠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.
Qualifications
Compliance Management and Regulatory Compliance skills
Analytical skills
Excellent communication skills
Chartered Accountants/Company Secretaries dropouts can also apply.
Chartered Accountants/Company Secretaries with proficient knowledge of MS Excel shall be preferred

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