Compliance Executive
6 months ago
Ø Handling regulatory compliance of BSE, NSE and SEBI regulations for Comfort Securities Limited and Comfort Commotrade Limited.
Ø Submission of Internal audit and Concurrent audit report to CDSL.
Ø Updating of Dealers NISM certificate before expiry in All Exchanges.
Ø Gathering and analyzing data, performing computations, and preparing work Researched, interpreted, and advise the company regarding compliance with laws and regulations.
Ø Handling Inspection of SEBI, Exchanges, and Depositories and drafting compliance report.
Ø Registration and cancellation of Authorized person in NSE, BSE and MCX and providing letters for approval of registration and cancellation of Authorized person once registered or cancel with exchange.
Ø Provide data to exchange as and when required.
Ø Maintained and reviewed all contracts and agreements to ensure all policies and procedures were fully followed. Review of various policies of the organization
Ø Organize and facilitate monthly, Quarterly, Yearly compliance review board meeting, attended by Chief Executive Officer, Chief Financial Officer, and executive of company.
Ø Directly reported to the Chief Executive officer to ensure company objective are meet and executed goals.
Ø Co ordinating and follow up with exchange regarding quires.
Ø Ensure regulatory compliance with Companies Act, 2013 for Comfort Securities Limited and Comfort Commotrade Limited.
Ø Taking vendor approval from Exchanges.
Ø Submission or registration of any other membership related activities.
Ø Replies to Letter of observation and Drafting compliance report of Concurrent audit report.
Ø Closing alerts of Exchanges as well as CDSL.
Ø Daily Sending and implementing circulars of SEBI, Exchanges, Depositories.
Ø Making representation to Regulators.
Ø Making submissions of various regulatory reporting to Regulators.
Ø Handling Inspection/Internal Audits/System Audit/Cyber audit.
Ø Research regulations related compliance.
Ø Handling Sebi/Exchange investigations.
Ø Replying to Surveillance related mails from Regulators
Ø Reply to Observation letters/show cause notices
Handling Stock Exchanges compliance. Drafting Appeals.
**Salary**: ₹25,000.00 - ₹30,000.00 per month
**Benefits**:
- Health insurance
- Provident Fund
Schedule:
- Day shift
**Experience**:
- total work: 1 year (preferred)
Ability to Commute:
- Malad West Dely, Mumbai, Maharashtra (required)
Ability to Relocate:
- Malad West Dely, Mumbai, Maharashtra: Relocate before starting work (required)
Work Location: In person
**Speak with the employer**
+91 8286824878
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