Compliance Officer
2 weeks ago
PNR Securities Limited is a renowned stock broking house of the country,
having memberships of BSE, NSE, and a registered Depository Participant with
NSDL. We are seeking a Compliance Officer for our company. The ideal
and regulatory requirements as stipulated by SEBI, Stock Exchanges and
NSDL.
Submission and Verification of data of Monthly/ Quarterly/half-yearly and
Annual regulatory returns to NSE/BSE/NSDL and to handle day-to-day
Regulatory Compliance.
- Analysis skills for verification of data.
- Tracking and Implementing various circulars issued by NSE/BSE/NSDL
- Handling regulatory Inspections.
- Handling NSE/BSE/NSDL mandated Internal Audits
- Handling NSE/BSE/NSDL Inspections
- Handling investor grievance cases directly received from Exchange(s) and
received directly in the company.
- Handling compliance-related activities for Broking and Depository Participant
Businesses.
- Review all in AML/ Surveillance activities and alert. Analysis, Preparation of
reply for the same.
Graduate with NISM Series-III-A: Securities Intermediaries Compliance (Non
- Fund) certification
- Have minimum 5years of work experience in stock broking /DP compliance
department.
Pay: ₹30,000.00 - ₹50,000.00 per month
Schedule:
- Day shift
Application Question(s):
- Graduate with NISM Series-III-A: Securities Intermediaries Compliance (Non
- Fund) certification
**Experience**:
- total work: 6 years (required)
**Language**:
- English (preferred)
Work Location: In person
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