
Regulatory Compliance Specialist
2 days ago
The Compliance Executive will be responsible for disseminating relevant circulars and notifications issued by regulators on a daily basis. This includes tracking actionable items related to these communications and maintaining accurate records within our Management Information System (MIS).
A key aspect of this role is ensuring the timely settlement of client balances, as well as maintaining knowledge of the associated process. Additionally, the Compliance Executive will prepare documentation for Alternate Platform (AP) registration/cancellation and stay up-to-date on AP-related compliances.
This position also involves providing support for NEAT/CTCL terminal setup and maintenance, as well as submitting various regulatory returns to exchanges on a regular basis. Furthermore, the Compliance Executive will coordinate with exchanges, clients, and departments on compliance-related matters and maintain accurate records of client transactions.
Key Responsibilities:
- Disseminate relevant circulars and notifications issued by regulators
- Track actionable items related to circulars and notifications
- Maintain a record of the same in MIS
- Settle client balances and maintain knowledge of the process
- Prepare documentation for AP registration/cancellation
- Maintain knowledge of AP-related compliances
- Provide support for NEAT/CTCL terminal setup and maintenance
- Submit weekly/monthly/quarterly/half-yearly and annual regulatory returns to exchanges
- Coordinate with exchanges, clients, and departments on compliance-related matters
- Maintain records of client transactions
- Prepare various applications/documentation as per exchange rules and regulations
- Maintain MIS for tracking purposes
We are looking for a skilled and detail-oriented individual to fill this position. If you are interested, please submit your updated resume.
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