
Regulatory Expert
4 days ago
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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