Compliance Specialist

1 week ago


Salem, Tamil Nadu, India beBeeCompliance Full time ₹ 12,00,000 - ₹ 16,00,000

Job Title: Compliance Executive

 

About the Role:

We are seeking a highly skilled and experienced Compliance Executive to join our team.

 

Key Responsibilities:

  • Regulatory Compliance: Ensure timely implementation and adherence of regulatory requirements by disseminating relevant circulars and notifications issued by regulators to respective departments.
  • Client Balance Settlement: Settle client balances (Fund/Securities) with knowledge of related processes.
  • AP Registration/Cancellation: Prepare documentation for AP registration/cancellation and maintain knowledge of related compliances.
  • NEAT/CTCL Terminals: Provide NEAT/CTCL terminals 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.
  • Coodination: Coordinate with exchanges, clients, and departments for compliance-related issues.
  • Transaction Recording: Maintain recording data of clients' transactions.
  • Exchange Rules: Prepare various applications/documentation as per exchange rules and regulations.
  • MIS Maintenance: Prepare and maintain MIS.


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