Compliance Executive

3 weeks ago


Mumbai, India Latin Manharlal Full time

**Location **:Mumbai

**Qualification**: Graduation/ Post graduation preferred

**Experience in Years**: 2-3 Years

**Scope and Responsibilities**:

- Working on weekly client funds data and reporting to NSE, BSE, MCX, NCDEX & ICEX. - Working on monthly client funds & securities balances and reporting to NSE, BSE, MCX, NCDEX & ICEX. - Maintaining repository of all compliance & inspection related data. - Circulate notices, guidelines to concerned departments for their updation as per SEBI & Exchanges requirements. - Provide data for reporting of Risk Based Supervision. - Handling of branch inspections data of all regions. - Guiding branches on new regulatory requirements. - Drafting policies & procedures related to compliance work. - Providing data to seniors officials as per inspection / IAR requirements. - Registration/Cancellation/Termination Authorized Person of all exchanges. - Modification of data related to registered Authorised Person. - Processed conversion of Sub brokers into Authorised Person. - Follow up with all exchanges for compliance related queries. - FATCA reporting - preparing file of US & NON US clients as per FATCA guidelines.


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