Compliance Officer
5 days ago
**Responsibilities and Duties**:
- To co-ordinate various activities of the team related to trade processing and regulatory reporting, confirmation of trades, settlements, paying pay-out of securities, processing Remittance of Custody clients and cash processing
- Processing of Shares Pledge / Unpledged request from Clients
- Managing regulatory reporting requirements
- Reconciliation of DMAT Holding of Pool Account and other DMAT Accounts
- Handling client queries / audit queries / inspection queries
- Liaising with colleagues and other teams to resolve issues and drive system enhancements
- Monitoring compliance of the SEBI Stock Broker Regulations.
- Timely submission of periodical reports to Regulators
- Addressing and timely resolving the Investor Grievances.
- Maintenance of Compliance Manual, Updating Management on changes in regulatory environment
- Follow up on commitments/obligations to SEBI and other Regulatory bodies
- Follow-up on Compliance related audit/inspection observations and incidents for systemic corrections.
- Serve as technical operational expert for queries from clients/team members etc.
- Testing & implementation of changes in Backoffice system
Capital Market
- Excellent written and verbal communications skills
- Self-starter with solid analytical and problem-solving skills
- High level of attention to detail, ability to execute and deliver high quality deliverables
- Ability to integrate rapidly with existing team
- Good organizational/planning and execution skills
- Ability to interact with individuals at all levels of the organization
- Strong work ethics & commitment to client service excellence
**Salary**: ₹25,000.00 - ₹40,000.00 per month
Schedule:
- Day shift
Ability to commute/relocate:
- Gurgaon, Gurgaon - 122001, Haryana: Reliably commute or planning to relocate before starting work (required)
**Experience**:
- total work: 4 years (preferred)
**Speak with the employer**
+91 8882269369
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