Compliance Officer

2 weeks ago

Khar Danda Mumbai Maharashtra, India WIINANCE FINANCIAL SERVICES Full time

Roles and Responsibilities:

- Regulatory inspections of commodity & Stock market, person should be well versed with internal audits, DP audits, special and Spot inspections, verification of data sub-mitted by all depts., Coordination and Exchange submission, sending suitable reply to the regulatory authorities.
- Assisting to internal auditors for conducting internal audits of all exchanges on a regular and Periodic basis.
- Aware of recent circular issued by various regulators like SEBI, RBI and issued by stock exchanges like NSE, BSE & MCX. Also, shall be aware of circular and regulation issued by CDSL.
- Assisting various internal stake holder for implementation of various circular issued by regulator or stock exchanges and depository.
- Well versed with process of on-boarding of clients at trading member
- Shall ensure trading terminals related regulation at exchanges
- Ensure timeliness as per compliance calendar and adhered to various deadlines by regulators, Stock Exchanges and Depository.
- Shall be able to understand legal agreements
- Shall require sending Information and important Communication to all internal and external stake holder.
- Monitoring compliance of KYC and AML & PMLA guidelines followed in opening of account by operations team and also Heading KYC.
- Ensuring proper analysis of alerts received from CDSL and exchanges and closing the same with proper justification.
- Ensuring analysis of internal alerts closing them with proper justification
- Reporting of Suspicious transaction to FIU/CDSL/Stock exchanges
- Follow-ups with the exchanges to obtain the necessary approvals
- Well versed with handling all types of compliance issue (Monthly, Quarterly, Half Year and Yearly) and Exchange Inspection.
- Keep up-to date with new Exchanges/SEBI circulars and implement the same
- Listing Compliances with Stock Exchanges as per the Listing Agreement and SEBI (LODR) Regulations. Listing of new Shares and dealing with Takeover code & insider trading compliances
- Filing of All Return, disclosures, Declarations, forms, etc. within the time prescribed by Law. Check Regular compliances being done accurately - Enhanced supervision, Margin Reporting, Exchanges reporting.
- Handle internal audit, exchange Inspection, Exchanges Approvals
- Handle client complaints
- Experience - 2+ years of experience in Compliance (Stock Broking)
- NISM Series III A, For Equity and DP (mandatory)

Pay: ₹20,000.00 - ₹40,000.00 per month

Schedule:

- Fixed shift
- Monday to Friday

**Experience**:

- Compliance officer: 2 years (preferred)

Work Location: In person

Application Deadline: 16/05/2024

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