Regulatory Compliance Specialist

16 hours ago

Mangalore, Karnataka, India beBeeCompliance Full time ₹ 40,00,000 - ₹ 80,00,000
Compliance Executive Job Description

We are seeking a skilled Compliance Executive to lead our regulatory compliance efforts.

  • Circulars and Notifications: The ideal candidate will disseminate relevant circulars and notifications issued by regulators on a daily basis to respective departments and track actionable items.
  • Client Balances: Settle client balances (fund/securities) and maintain knowledge of settlement procedures.
  • AP Registration: Prepare documentation for AP registration/cancellation and maintain knowledge of AP-related compliances.
  • NEAT/CTCL Terminal: Provide access to NEAT/CTCL terminal and maintain MIS for the same.
  • Regulatory Returns: Submit weekly/monthly/quarterly/half-yearly and annual regulatory returns to exchanges and handle day-to-day regulatory compliance.
  • Co-ordination: Co-coordinate with exchanges, clients, and departments for compliance-related issues.
  • Transaction Recording: Maintain recording data of client transactions.
  • Applications/Documents: Prepare and maintain various applications/documents as per exchange rules and regulations.
  • MIS Preparation: Prepare and maintain MIS for compliance purposes.

The successful candidate will have 1.5 years of experience in broking and possess excellent analytical skills.

Key responsibilities include:

  • Bulletin dissemination
  • Client balance settlement
  • AP registration
  • Terminal access and MIS maintenance
  • Regulatory return submission
  • Compliance coordination
  • Transaction recording
  • Application/document preparation
  • MIS creation

This is an exciting opportunity to work in a dynamic environment and contribute to the success of our organization.

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