Compliance Operation
2 weeks ago
i. Submission of the file to Exchange along with all working on a daily;
1. Authorized Person File updating and uploading to Exchange
2. Segregation & Monitoring of client collateral
3. Cash and Cash Equivalent
4. Enhanced Supervision
5. Holding Statement (Reconciliation)
6. Bank Balance
7. RBS (Risk-Based Supervision)
ii. Reconciliation of Bank/Holding Statement
iii. Submission of Weekly/Quarterly/Half Yearly/Yearly Compliance submission.
iv. All Policies as per the Exchange are to be reviewed.
v. Able to handle the Internal and External Audit
vi. Exchange and SEBI Inspection
vii. Analysis of UCC/Billing/Accounts and another requirement as per the Exchange norms
viii. Checking on Logs and Audit trail
ix. Inter Department Audit
b. Qualifications:
ii. Excel and word knowledge must
**Salary**: ₹15,000.00 - ₹42,000.00 per month
**Benefits**:
- Life insurance
- Provident Fund
Schedule:
- Day shift
Ability to commute/relocate:
- Greater Mumbai, Mumbai - 400001, Maharashtra: Reliably commute or planning to relocate before starting work (preferred)
**Education**:
- Bachelor's (required)
**Experience**:
- total work: 1 year (preferred)
**Speak with the employer**
+91 7506969128
Expected Start Date: 01/02/2023
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