
Executive Leader
3 days ago
The Senior Executive is responsible for providing crucial support to the Compliance team in managing compliance operations. Key responsibilities include tracking and escalating SEBI communications, maintaining a list of members' Payment Orders (PO) and Demand Drafts (DD), monitoring FIU Alerts and disseminating FIU Guidelines as needed, organizing Anti-Money Laundering (AML) compliances, and handling documentation of correspondence between the exchange and SEBI.
- Main Responsibilities:
- Managing inward and outward SEBI correspondences
- Tracking and escalating SEBI communications
- Maintaining a list of members' Payment Orders (PO) and Demand Drafts (DD)
- Monitoring FIU Alerts and disseminating FIU Guidelines to members as needed
- Organizing and managing Anti-Money Laundering (AML) compliances
- Providing administrative support and assistance in high-impact compliance initiatives
- Handling documentation of correspondence between the exchange and SEBI
- Managing custody of agreements/undertakings
- Drafting board agendas
- Providing administrative support and assistance to the Chief Compliance Officer (CCO)
- Qualifications:
- Postgraduate degree from a reputable institute/university
- Experience:
- 6-8 years of relevant work experience
- Key Skills:
- Adequate knowledge of regulatory functions
- Administrative support skills
- Knowledge of Exchange ecosystem and operations
- Ability to grasp and interpret compliance & regulatory knowledge
- Proficiency in MS Excel and MS PowerPoint
- High attention to detail
- Process-driven approach
- High degree of integrity
- Responsiveness
- Effective communication and attentiveness
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