
Business Compliance Officer
2 weeks ago
- Disseminate relevant circulars and notifications issued by regulators on a daily basis to respective departments, and track actionable items with respect to implementation or adherence.
- Settle client balances (funds and securities) and possess a brief understanding of the process.
- Prepare documentation for AP registration/cancellation and have knowledge of AP-related compliances.
- Maintain records of clients' transactions and provide NEAT/CTCL terminal management and MIS tracking.
- Submit regulatory returns to exchanges on a weekly, monthly, quarterly, and annual basis, and handle day-to-day compliance tasks.
- Coordinate with exchanges, clients, and departments on compliance-related matters.
- Minimum 1.5 years of experience in broking
- Strong knowledge of regulatory compliances and ability to maintain MIS records
- Excellent communication and coordination skills
Interested candidates can apply with their updated resumes.
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