Membership Compliance

**Regulatory Compliance**:

- Effectively monitor various compliance requirements of Members and oversee the regulatory filings by Members.
- Undertake periodic review of various compliance & operational policies and initiate changes in consultation with relevant stakeholders.
- Handling business transfer/merger requests of Members and facilitating all necessary steps/activities necessary for the closure.
- Handling IFSCA/Member enquiries & ensuring timely resolution.
- Updation of membership database for change in status, details of transfer of membership details.
- To monitor the continued compliances whether completed on time
- Updation of membership database for change in status, details of transfer of membership and shareholding/director details.
- To monitor the continued compliances whether completed on time

**2) System development (Internal and with IFSCA)**
- Ensure continuous improvement in compliances procedures and processed through adequate system development. System development co-ordination and implementation for new requirements.
- Co-ordination with Technology team for system development for approach finalization.
- Ensure user acceptance testing and successful implementation.
- Participation in annual technology requirements planning.
- Suggest new system development initiatives related to Customer benefit, process efficiency across functions, enhanced compliance, cost/time saving, etc.

**3) Monitoring of Mandatory submissions**
- Monitoring of Half yearly/annual Net-worth submission of the Members and initiate action in case of non-compliance.
- Monitoring Insurance details submission of Members
- Computation of Securities Transaction Price Index data & submission to IFSCA on quarterly basis.

**4) Other compliance activities**
- Monitoring periodic submissions and compliances of members and taking disciplinary action in case of non
- compliance
- Overseeing the Sign-off for Margin Trading & Client Funding activity respectively
- Issue Status Report upon Member request
- On-boarding and cancellation of Authorised Persons, Activity Processing Fees, Preparation of monthly/quarterly data, reports, MIS as applicable

**Note: Additional responsibilities may be added from time to time depending on organisational requirements.**

**How Performance will be measured**

**Internal Processes measures -**
- Adherence to defined process and TAT to meet the defined SLAs= 100%
- Number of innovative ideas contributed to process improvement initiatives.

**Learning and growth measures**
- Number of hours of training attended >= 40.
- Keeping self-updated on recent developments related to department’s area of work

**You will Collaborate with**
- **Internal Stakeholders** - HODs, Group Entities, Committees, and Governing Board.
- **External Stakeholders** - Regulator, Members, & Auditors

**What Qualifications & Experience you bring**

**Qualifications & Experience**:

- CA / CS with 5 - 8 years with proven expertise in managing operations efficiently in an error free manner. Specific experience in Handling Member compliance related activities.
- Knowledge of financial and capital markets.
- Knowledge of statutory requirements applicable to the financial markets.
- Should have excellent verbal & written communication skills.
- Should display high standard of customer service & should be able to build strong customer relationship.

Should be self-motivated and able to take responsibility

Pay: ₹1,500,000.00 - ₹2,400,000.00 per year

Schedule:

- Day shift
- Monday to Friday

Work Location: In person