Compliance Risk Manager

7 hours ago

Kolkata, West Bengal, India beBeeRegulatory Full time ₹ 8,00,000 - ₹ 15,00,000
Compliance Executive Job Description

Prudent Corporate Advisory Services Ltd is urgently hiring for the post of Compliance Executive- Broking.

Location : Ahmedabad

Experience Required : Min 1.5 Years in Broking

Job Responsibilities :

  • Dissemination of relevant circulars & notifications issued by regulators on daily basis to respective departments and track Actionable, circulars/Notifications with respect to implementation /adherence of said circulars as a part of action point monitoring as and when applicable and maintain MIS of the same.
  • Settlement of client balances (Fund/Securities) and brief knowledge of the same.
  • Preparation of documentation of AP registration / cancellation and brief knowledge of AP related compliances.
  • Providing NEAT / CTCL terminal and maintain MIS for the same.
  • Submission of Weekly / Monthly / Quarterly / half yearly and Annual regulatory returns to exchange(s) and handle day-to-day Regulatory Compliance.
  • Co-coordinate with the exchange(s), clients and departments for any compliance related issues.
  • Maintain Recording data of clients transaction.
  • Preparation of various applications / documentation as per exchange rules & regulation.
  • Prepare and maintain MIS.
Required Skills and Qualifications :

Key skills and qualifications required for this role include :

  • Proficient in MS Office Suite.
  • Knowledge of accounting software.
  • Excellent analytical and problem-solving skills.
  • Ability to work well under pressure.
  • Effective communication and interpersonal skills.
Benefits :

As a Compliance Executive at Prudent Corporate Advisory Services Ltd, you will have the opportunity to work with a dynamic team and develop your skills and expertise in the field of compliance.

Interested candidates can apply for this role by sharing their updated resume.

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