
Compliance Specialist
3 days ago
Job Summary:
We are seeking an experienced Compliance Executive to join our team. As a key member of our compliance function, you will play a crucial role in ensuring that all regulatory requirements are met.
Main Responsibilities:
- Identify and disseminate relevant circulars & notifications issued by regulators on a daily basis to respective departments and track actionable items.
- Settle client balances (Fund/Securities) and have knowledge of related documentation.
- Prepare documentation for AP registration/cancellation and maintain compliance records.
- Provide NEAT/CTCL terminal access and maintain MIS records.
- Submit weekly/monthly/quarterly/half-yearly and annual regulatory returns to exchanges.
- Coordinate with exchanges, clients, and departments on compliance-related issues.
- Maintain client transaction data and prepare applications/documentation as per exchange rules and regulations.
Requirements:
- At least 1.5 years of experience in broking or a related field.
- Strong understanding of regulatory requirements and compliance procedures.
- Excellent communication and organizational skills.
What We Offer:
A dynamic and challenging work environment with opportunities for growth and development.
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