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Compliance Executive

2 months ago

Malad West Dely Mumbai Maharashtra, India Comfort Securities Limited Full time

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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