Compliance Officer

7 days ago

Surat, India Jainam Broking Limited Full time

**Roles & Responsibilities**:

- **Knowledge of Share Market is preferable.**:

- Exchange Compliances
- ROC Compliances
- Legal Work
- Creating / managing and updating Compliance work Matrix for Jainam Broking Limited and all its concerned companies/ partnership firms / LLP in the best interest of the organization.
- To ensure that all the compliances ( even executed by peer departments ) that need to follow are completed within due timeline. To thoroughly understand importance / priority / penalty / meaning of compliances that we need to comply.
- To ensure that all the queries that are being raised by various associated organization like income tax, SEBI, Ed, exchange etc are closed with due time limits when asked for.
- Interacting with, dealing with and responding to the queries of external and internal auditors / inspections throughout the year may be planned or unplanned. To take corrective measures on all the observations raised during inspections / audits for better controls in the organization.
- Maintaining healthy relations with all the organizations / institutions / auditors etc associated with the department
- Keeping a track with all the customer grievances(Cases) / Civil - Criminal Cases and follow up to complete the same.
- To make sure that all the types of agreements at any levels in the organizations need to be authorized before getting executed
- To get updates of all processes and systems of broking industry pertaining to Compliance operations by maintaining immediate touch with intermediaries and broker fraternity on regular basis.
- To ensure Alignment of the process and systems of the organization with compliance issued as and when required within the due time limits as specified by the authorities. To develop mechanism to communicate any circular / change in circular / compliance etc to internal and external customer for their better understand as and when required
- To Design/Refine and regularly update SOPs (physical documents) of every process or system based on the policies related to department.
- To follow and abide organogram structure and organization policies for overall growth.
- Recruiting, mentoring and developing compliance agents and nurture an environment where they can excel oneself through encouragement and empowerment. Keeping an accurate check on records and documents of their actions and discussions. Also analyze the statistics and compile the reports unerringly.
- To Form a habit of reading relevant journals, going to meetings, joining webinars and attending courses/ seminars relating to compliance. Stay up-to-date with the industry's techniques and methods. Notes compliance of the organization includes branch related, Sub Broker related, ROC related, PMS related, RA related ,IA related, exchange related, SEBI related etc ROC - Registered of Company IA - Investment Advisory RA - Research Analyst.

**Qualification**:

- Company Secretary or Master Degree

**Experience**:

- 8-10 years

**Salary**: ₹900,000.00 - ₹1,000,000.00 per year

Schedule:

- Morning shift

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