Regulatory Compliance Officer

17 hours ago

Kozhikode, Kerala, India beBeeRegulatory Full time ₹ 8,00,000 - ₹ 12,00,000

Key Responsibilities:

  • We are looking for someone to disseminate relevant regulatory announcements and track their implementation. This involves maintaining a monitoring system for actionable items and ensuring adherence to these announcements.
  • The ideal candidate will have brief knowledge of client settlements, specifically handling fund and security balances.
  • We require someone to prepare documentation for account registration and cancellation, as well as AP-related compliance tasks.
  • This role involves managing NEAT/CTCL terminals and maintaining a monitoring information system for the same.
  • Responsibilities include submitting regulatory returns to exchanges on a weekly, monthly, quarterly, and annual basis, as well as handling day-to-day regulatory compliance.
  • The Regulatory Compliance Officer will coordinate with exchanges, clients, and departments to resolve any compliance-related issues.
  • This position also involves recording client transaction data.
  • We need someone to prepare and maintain various applications and documentation in accordance with exchange rules and regulations.

Responsibilities:

  • Disseminate regulatory announcements
  • Maintain MIS for actionable items
  • Client settlement knowledge
  • AP registration/cancellation documentation
  • NEAT/CTCL terminal management
  • Regulatory return submissions
  • Compliance issue resolution
  • Client transaction data recording

A strong understanding of regulatory requirements and procedures is essential for this role. If you have experience working with regulatory bodies and possess excellent organizational skills, we encourage you to apply.

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