Regulatory Specialist

1 week ago


Dindigul, Tamil Nadu, India beBeeCompliance Full time ₹ 60,00,000 - ₹ 1,20,00,000
Job Title: Compliance Executive

We are seeking a skilled and experienced Compliance Executive to join our team.

Key Responsibilities:
  • Disseminate relevant circulars and notifications issued by regulators on a daily basis to respective departments and track actionable items for implementation or adherence.
  • Settle client balances (funds/ securities) and possess knowledge of settlement procedures.
  • Prepare documentation for AP registration/cancellation and maintain awareness of AP-related compliances.
  • Provide NEAT/CTCL terminal support and maintain MIS records.
  • Submit weekly/monthly/quarterly/half-yearly and annual regulatory returns to exchanges and handle day-to-day regulatory compliance.
  • Coordinate with exchanges, clients, and departments for compliance-related matters.
  • Maintain accurate transaction records for clients.
  • Prepare various applications/documentation as per exchange rules and regulations.
Requirements:
  • Minimum 1.5 years of experience in broking.
  • Strong understanding of regulatory requirements and compliance procedures.
  • Excellent communication and interpersonal skills.
  • Ability to work in a fast-paced environment and meet deadlines.

Interested candidates can apply by sharing their updated resume with us.



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