Membership Compliance Officer

7 days ago

Rajahmundry, Andhra Pradesh, India beBeeCompliance Full time ₹ 12,30,000 - ₹ 2,08,05,000
Deputy Manager-Membership Job Description

This role is responsible for performing activities related to membership compliance of the Exchange and supporting the team in achieving a no-error work environment.

Main Responsibilities:
  • To scrutinize and process applications for change in director as per Exchange/SEBI norms.
  • To screen all applications related to change in director details, change in SHP/DPG, Directors, and Transfer of membership.
  • Maintain records updating control sheets and follow up with members accordingly via mail and phone calls.
Key Result Areas:
  1. Change in Director's Details:
  • Scrutinizing / processing of application for change in director as per Exchange/SEBI norms.
  • Screening for all the applications related to change in director details, change in SHP/DPG, Directors and Transfer of membership.
  • Maintain records updating control sheet and follow ups with member accordingly via mail and phone calls.
Change in Shareholding/DPG Pattern/Constitution / Re-constitution of Partnership Firm:
  • Scrutinizing / processing of shareholding/DPG pattern constitution / Re-constitution/of partnership firm.
  • Keeping Records updating control sheet and follow ups with member accordingly via mail and phone calls
Change in Name of Member Entity and Change in Member Office Address:
  • Scrutinizing / Processing applications as per norms and updating SEBI Portal.
  • Processing such applications without any errors within prescribed TAT. Updating members Name and address in CRM database as per members request, updation to other department.
Closure of Alerts in Trackwizz Application, Maintaining Monthly Database and MIS/Collation of Data for SEBI/Internal Department:
  • Close all alerts in track wizz portal on monthly basis and maintain data base up to date
Preferred Profile:
  • CS/CA/MBA from a reputed Institute / University
Experience:
  • 3 - 4 years of work experience in securities/Capital market, financial services, mutual funds or insurance companies
Skills Required:
  • Proactive and result-oriented
  • Analytical ability and an eye for detail
  • Good execution skills
  • Strong communications skills
  • To share learning and develop/communicate best practice across various groups
  • Satisfy company and national regulatory standards
Functional Competencies required:
  • MS Office (good excel skills to be preferred)

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