
Regulatory Compliance Specialist
1 day ago
Job Title: Compliance Executive
- Responsibilities:
- 1. Dissemination of circulars and notifications.
- Disseminate relevant circulars & notifications issued by regulators on a daily basis to respective departments.
- Track actionable items related to circulars/notifications.
- Maintain MIS for the same.
- 2. Settlement of client balances.
- Settle client balances (Fund/Securities).
- 3. Preparation of documentation.
- Prepare documentation for AP registration/cancellation.
- 4. NEAT/CTCL terminal management.
- Manage NEAT/CTCL terminals and maintain MIS for the same.
- 5. Regulatory returns submission.
- Submit weekly/monthly/quarterly/half-yearly, and annual regulatory returns to exchanges.
- 6. Compliance coordination.
- Coordinate with exchanges, clients, and departments for compliance-related issues.
- 7. Client transaction recording.
- Maintain records of client transactions.
- 8. Application preparation.
- Prepare various applications/documentation as per exchange rules/regulations.
- 9. MIS maintenance.
- Maintain MIS.
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