Regulatory Expert

2 days ago


Udaipur, Rajasthan, India beBeeCompliance Full time ₹ 8,00,000 - ₹ 14,90,000
Compliance Executive Job Description

The Compliance Executive will be responsible for ensuring that the company adheres to all regulatory requirements and industry standards. This includes disseminating relevant circulars and notifications, tracking actionable items, and maintaining a comprehensive MIS system.

Key Responsibilities:
  • Disseminate relevant circulars and notifications issued by regulators on a daily basis.
  • Track actionable items related to circulars and notifications.
  • Maintain a comprehensive MIS system.
  • Settle client balances and have knowledge of settlement processes.
  • Prepare documentation for AP registration/cancellation and have knowledge of AP-related compliances.
  • Provide NEAT/CTCL terminal maintenance and MIS management.
  • Submit weekly/monthly/quarterly/half-yearly and annual regulatory returns to exchanges.
  • Coordinate with exchanges, clients, and departments for compliance-related issues.
  • Record client transaction data.
  • Prepare various applications/documentation as per exchange rules and regulations.
Requirements:
  • Minimum 1.5 years of experience in broking.
  • Knowledge of regulatory requirements and industry standards.
  • Ability to maintain a comprehensive MIS system.
  • Excellent communication and coordination skills.

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