
Senior Membership Compliance Professional
2 days ago
Job Role:
We are seeking a diligent Membership Compliance Officer to join our team.
Key Responsibilities:
- Compliance Management:
- Oversee membership compliance activities related to the Exchange and ensure adherence to regulatory norms.
- Scrutinize applications for change in director's details, shareholding/DPG pattern, and transfer of membership.
- Maintain accurate records, update control sheets, and follow up with members via mail and phone calls.
- Shareholding and DPG Pattern:
- Process shareholding/DPG pattern constitution/re-constitution of partnership firms as per regulations.
- Keep records updated and follow up with members via mail and phone calls.
- Member Entity Details:
- Process applications for change in member entity name and address as per norms and update SEBI Portal.
- Ensure timely processing without errors and notify other departments accordingly.
- Closure of Alerts and MIS Reporting:
Requirements:
We are looking for candidates with the following qualifications and experience:
- Educational Background: A degree in CS, CA, or MBA from a reputable institution/university.
- Work Experience: 3-4 years of work experience in securities, capital markets, financial services, mutual funds, or insurance companies.
- Skills Required:
- Proactive and result-oriented.
- Strong analytical skills and attention to detail.
- Excellent execution skills.
- Good communication skills.
- Ability to share learning and develop best practices.
- Adherence to company and national regulatory standards.
- Technical Competencies: Proficiency in MS Office, preferably with good Excel skills.
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