Senior Compliance Officer

3 days ago

Tirupati, Andhra Pradesh, India beBeeCompliance Full time ₹ 15,00,000 - ₹ 20,00,000

Job Role:

  • Support the team in achieving a no error work environment by performing activities related to membership compliance of the Exchange.

Key Responsibilities:

  • 1. Change in Director's Details:
    • Screen and process applications for change in director as per Exchange/SEBI norms.
    • Screen all applications related to change in director details, SHP/DPG, Directors and Transfer of membership.
    • Update records on control sheets and follow up with members via mail and phone calls.
  • 2. Change in Shareholding/DPG Pattern/Change in Constitution/Re-constitution of Partnership Firm:
    • Screen and process shareholding/DPG pattern constitution/re-constitution/of partnership firm applications.
    • Keep records updated on control sheets and follow up with members via mail and phone calls.
  • 3. Change in Name of Member Entity and Change in Member Office Address:
    • Screen and process applications for change in name of member entity and office address as per norms.
    • Process such applications without errors within prescribed TAT. Update member names and addresses in CRM database as per member requests.
  • 4. Closure of Alerts in Trackwizz Application, Maintaining Monthly Database and MIS/Collation of Data for SEBI/Internal Department:

Requirements:

  • CS/CA/MBA from a reputable institute/university
  • 3-4 years of work experience in securities/capital market, financial services, mutual funds or insurance companies
  • Proactive and result-oriented
  • Analytical ability and an eye for detail
  • Good execution skills
  • Strong communication skills
  • Share learning and develop best practices across various groups
  • Satisfy company and national regulatory standards

We are seeking a highly skilled individual to support our team in achieving a no error work environment. The successful candidate will have 3-4 years of work experience in securities/capital market, financial services, mutual funds or insurance companies and possess strong analytical and communication skills.

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