Business Operations Compliance Professional

4 days ago

Mount Abu, Rajasthan, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 20,00,000

Job Overview

This is an exciting opportunity to work in the securities industry as a Deputy Manager. The role involves performing various activities related to membership compliance on the Exchange and supporting the team in achieving a no-error work environment.

About the Role

  • To scrutinize and process applications for change in director as per Exchange/SEBI norms.
  • To screen all applications related to change in director details, SHP/DPG, directors, and transfer of membership.
  • To maintain records, update control sheets, and follow up with members via mail and phone calls.

Main Responsibilities

  1. Change in Director's Details:
  • Scrutinize and process applications for change in director as per Exchange/SEBI norms.
  • Screen all applications related to change in director details, SHP/DPG, directors, and transfer of membership.
  • Maintain records, update control sheets, and follow up with members via mail and phone calls.
Change in Shareholding/DPG Pattern/Constitution/Re-constitution of Partnership Firm:
  • Scrutinize and process shareholding/DPG pattern constitution/re-constitution of partnership firm.
  • Keep records, update control sheets, and follow up with members via mail and phone calls.
Change in Name of Member Entity and Change in Member Office Address:
  • Scrutinize and process applications as per norms and update the SEBI Portal.
  • Process applications without errors within the prescribed TAT. Update member names and addresses in the CRM database as per member requests and update other departments.
Closure of Alerts in Trackwizz Application, Maintaining Monthly Database and MIS/Collation of Data for SEBI/Internal Department:

About You

The ideal candidate will have a strong background in securities, capital markets, financial services, mutual funds, or insurance companies. They should possess excellent analytical skills, attention to detail, and strong execution skills. Effective communication skills are also essential for this role.

Key Requirements

  • Educational Qualifications: CS/CA/MBA from a reputed Institute or University.
  • Work Experience: 3-4 years of work experience in securities, capital markets, financial services, mutual funds, or insurance companies.

What We Offer

This role offers a challenging and rewarding career opportunity with opportunities for growth and development.

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