
Strategic Compliance Professional
3 days ago
The primary objective of this role is to provide critical support to the Compliance team in handling matters related to compliance operations. The Senior Executive will be responsible for managing inward and outward SEBI correspondences, tracking and escalating SEBI communications, maintaining the list of Payment Orders (PO) and Demand Drafts (DD) for members, monitoring FIU Alerts, and disseminating FIU Guidelines as necessary. Additionally, they will organize and manage Anti-Money Laundering (AML) compliances, provide administrative support and assistance in high-impact Compliance initiatives, handle documentation of correspondence between the Exchange and SEBI, and manage custody of agreements/undertakings.
Key Responsibilities:
- Manage inward and outward SEBI correspondences
- Track and escalate SEBI communications
- Maintain the list of Payment Orders (PO) and Demand Drafts (DD) for members
- Monitor FIU Alerts and disseminate FIU Guidelines to members as necessary
- Organize and manage Anti-Money Laundering (AML) compliances
- Provide administrative support and assistance in high-impact Compliance initiatives
- Handle documentation of correspondence between the Exchange and SEBI
- Manage custody of agreements/undertakings
Requirements:
- Post Graduate from a reputable Institute/University
- 6-8 years of relevant work experience
- Adequate knowledge of regulatory functions
- Administrative support skills
- Knowledge of the Exchange ecosystem and operations
- Ability to interpret compliance and regulatory knowledge
- MS Excel and MS PowerPoint skills
- High attention to detail
- Process-driven approach
- High degree of integrity
- Responsiveness
- Effective communication and attentiveness
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