
Business Regulatory Specialist
4 days ago
A diligent Compliance Officer is sought to ensure seamless adherence to regulatory requirements and maintain precise records.
- Key Responsibilities:
- Communicate critical updates from regulatory bodies to relevant departments and monitor actionable items.
- Settle client balances (funds/securities) and remain knowledgeable about related processes.
- Prepare documentation for AP registration/cancellation and stay informed of AP-related compliances.
- Manage NEAT/CTCL terminals and generate MIS reports.
- Submit regulatory returns to exchanges regularly and handle day-to-day compliance tasks.
- Collaborate with exchanges, clients, and departments on compliance-related matters.
- Maintain accurate records of client transactions.
- Prepare various applications/documentation as per exchange rules and regulations.
- Generate accurate MIS reports.
- Minimum 1.5 years of experience in broking or a related field.
- Strong understanding of regulatory requirements and compliance procedures.
- Excellent communication and organizational skills.
- Able to work independently with minimal supervision.
Selected candidates will be expected to diligently adhere to regulatory requirements and maintain precise records.
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