
Regulatory Affairs Specialist
3 days ago
The Role of a Compliance Executive.
We are seeking a highly skilled professional to join our team as a Compliance Executive. As a key member of the organization, you will be responsible for ensuring that our business operations are in line with regulatory requirements and industry standards.
Key Responsibilities:
- Dissemination of relevant circulars & notifications issued by regulators on daily basis to respective departments and to track Actionable, circulars/Notifications with respect to implementation /adherence of said circulars as a part of action point monitoring as and when applicable and to maintain MIS of the same.
- Settlement of client balances (Fund/Securities) and having brief knowledge of the same.
- Preparation of documentation of AP registration / cancellation and having brief knowledge of AP related compliances.
- Providing NEAT / CTCL terminal and maintain of MIS for the same.
- Submission of Weekly / Monthly / Quarterly / half yearly and Annual regulatory returns to exchange(s) and to handle day-to-day Regulatory Compliance.
- To 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:
• Minimum 1.5 years of experience in broking
• Strong understanding of regulatory requirements and industry standards
• Excellent communication and interpersonal skills
• Ability to work independently and as part of a team
• Proficiency in MS Office and ability to learn new systems quickly
Benefits:
• Competitive salary package
• Opportunities for career growth and development
• Collaborative and dynamic work environment
Others:
• If you are a motivated and detail-oriented individual who is passionate about compliance, we encourage you to apply for this exciting opportunity.
Interested candidates can share their updated resume.
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