Compliance Executive

2 weeks ago


Indore, India Indira Full time

Job Responsibility

**Responsibilities: 1 **Maintaining and Updating the summary of General and Board Meeting and resolutions and resolutions passed thereon. 2.Interpretation of Statues and Provisions for going business actions 3.
**Attending Investor Grievances on call. 4. **Handling Exchange Observations/Inquiry w.r.t. trades done by clients and resolving them. 5. Assisting in Exchange Inspections (NSE/BSE) 6. Handling documentation for Availing PAN API facility from NSDL. 7 Documentation for Approval of Version Up gradation for CTCL, IBT EXE, IBT web and STWT with all four exchanges. 8. Compliance reporting, proper filing of documents, NISM /CPE Registration of Sub
- brokers/ employees 9. Call Handling, Maintaining and handling records and reports pertaining to various Sub
- broker queries, and conversation with exchanges.10. Drafting letters / mails, AP registration Enablement on CRM, AP Activation / Deactivation/ Cancellation 11.Sub - Broker Cancellation/renewal, Research and Development etc.

**Requisite Skills**:

- Proven experience of 3-4 years or above as Compliance Executive or similar role.
- Excellent understanding of Compliance concepts and best practices.
- Analytical mindset and critical thinking.
- Excellent communication and interpersonal skills.

Qualification

Company Secretary

Package

As per the company norms

Locations

Indore



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