Chief Membership Compliance Officer

4 days ago

Thiruvananthapuram, Kerala, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 12,34,567
Job Title: Deputy Manager-Membership

We are seeking an experienced Deputy Manager-Membership to join our team. In this role, you will be responsible for ensuring membership compliance with exchange and SEBI norms.

The ideal candidate will have a strong background in securities, capital markets, financial services, mutual funds or insurance companies. You will work closely with the team to achieve a no error work environment.

The key areas of responsibility include:

  • Change in Director's Details:
    • Scrutinizing and processing applications as per Exchange/SEBI norms.
    • Screening all applications related to change in director details, change in SHP/DPG, directors, and transfer of membership.
    • Maintaining records and updating control sheets, with follow-ups via mail and phone calls.
  • Change in Shareholding/DPG Pattern/Change in Constitution/Re-constitution of Partnership Firm:
    • Scrutinizing and processing shareholding/DPG pattern constitution/re-constitution of partnership firm.
    • Keeping records updated and conducting follow-ups via mail and phone calls.
  • Change in Name of Member Entity and Change in Member Office Address:
    • Scrutinizing and processing applications as per norms and updating SEBI Portal.
    • Processing such applications without errors within prescribed TAT. Updating member name and address in CRM database as per member request.
  • Closure of Alerts in Trackwizz Application, Maintaining Monthly Database and MIS/Collation of Data for SEBI/Internal Department:

To succeed in this role, you will need:

  • Educational Qualification:
    • CS/CA/MBA from a reputed Institute/University
  • Experience:
    • 3-4 years of work experience in Securities/Capital Market, Financial Services, Mutual Funds or Insurance Companies
  • Skills Required:
    • Proactive and result-oriented
    • Analytical ability and an eye for detail
    • Good execution skills
    • Strong communications skills
    • To share learning and develop/communicate best practice across various groups
    • Satisfy company and national regulatory standards
  • Functional Competencies required:
    • MS Office (good Excel skills to be preferred)

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