Regulatory Expert

4 days ago


India beBeeCompliance Full time ₹ 4,00,000 - ₹ 8,00,000

Compliance Executive Position Overview

  • This role focuses on ensuring adherence to regulatory requirements and guidelines in the financial industry.
  • The successful candidate will be responsible for disseminating circulars and notifications issued by regulators to respective departments, tracking actionable items, and maintaining MIS records.
  • Settlement of client balances, knowledge of fund/securities settlement, and preparation of AP registration/documentation are also key responsibilities.
  • The Compliance Executive will provide NEAT/CTCL terminal support, maintain MIS records, and submit regulatory returns to exchanges as required.
  • Coordination with exchanges, clients, and departments on compliance-related matters is essential.
  • Maintenance of transaction data recording and preparation of various applications/documentation according to exchange rules/regulations.
  • MIS maintenance and analysis are crucial aspects of this position.

Key Responsibilities:

  • Disseminate regulatory circulars and notifications
  • Track and implement action points
  • Settle client balances
  • Prepare AP registration/documentation
  • Provide terminal support
  • Submit regulatory returns
  • Coordinate with exchanges/departments
  • Maintain transaction data/MIS

Requirements:

  • Min 1.5 Years experience in Broking
  • Brief knowledge of fund/securities settlement
  • Familiarity with AP registration/cancellation processes
  • NEAT/CTCL terminal management
  • Regulatory return submission
  • Excellent communication/coordinating skills


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