Compliance Officer

2 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

  • Labour Compliance Officer

    2 weeks ago

    Surat, India MNR Solutions Private Limited Full time

    **Compliance -** CA Firm (Compliance Officer) for Labour compliance for entire Grow India Pvt Ltd (Factory Audit/ Legal Compliance) Exp - 2 to 5 Years Job Location - Surat Education - Well versed in labour compliance or legal **Job Types**: Full-time, Regular / Permanent **Salary**: ₹40,000.00 - ₹50,000.00 per month **Benefits**: - Commuter...

  • Compliance Officer

    6 days ago

    Katargam, Surat, Gujarat, India Certbar Security Pvt. Ltd. Full time

    **Position Title**: Compliance Officer (GRC) **Location**: Katargam, Surat **Department**: Compliance/Data Protection **Job Summary**: The Compliance Officer will be responsible for ensuring that our company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as...

  • Compliance Officer

    2 days ago

    Surat, India Market-Hub stock broking pvt.ltd. Full time

    **Job Summary** Drafting Legal documents, Notice & all other corporate documents. Compliance with various authorities of Exchange Custodian of corporate records, statutory books and registers. Any other matters relating to the company legal assignment, including all incidental works, such as legal matters, audit,report writing, preparation of Annual Report...

  • Officer and Compliance

    6 days ago

    Surat, Gujarat, India krishna enterprise Full time

    Position: Officer and Compliance - Executive Location: Vadodara Experience : For Officer - 3 Year Min & For Executive - 2 Year Min Qualification: Graduation *Key Responsibilities:* - Effectively handle all Establishment and Payroll related Compliance Activities of Clients i.e. PF, ESIC, LWF, PT, Shops & Establishments, Contract Labour, Minimum Wages,...

  • Company Secretary

    2 days ago

    Surat, India The Accounting Baba Full time

    1. **ROC** Ø Drafts review for specific assignments, Signing of documents and forms filing, if required Ø Periodic compliance - Annual and Quarter Ø Regular work - Board resolution preparation and filing (u/s 179) Ø All the ROC related compliance - which are required to execute at Office level (GM Notice Issue + uploading on website) - Of all the...

  • Compliance Officer

    1 week ago

    Piplod, Surat, Gujarat, India Nirmal Vasundhara Pvt Ltd Full time

    Key Responsibilities: - Legal Interpretation and Compliance: 1. Interpretation of plastic waste management laws, rules, and regulations applicable to corporate firms and other entities. 2. Stay up-to-date on legal requirements and amendments related to PWM, EPR, and relevant environmental laws. 3. Research and interpretation of legal frameworks to ensure...

  • Compliance Executive

    4 weeks ago

    Surat, India krishna enterprise Full time

    Position: Officer and Compliance - Executive Location: Vadodara Experience : For Officer - 3 Year Min & For Executive - 2 Year Min Qualification: Graduation COMPANY NAME - *ArcelorMittal Nippon Steel India - Payroll Of Aparajitha corporate services (p) ltd - Key Responsibilities: * Effectively handle all Establishment and Payroll related Compliance...

  • Compliance Executive

    1 week ago

    Surat, Gujarat, India krishna enterprise Full time ₹ 2,40,000 - ₹ 4,80,000 per year

    Position: Officer and Compliance - ExecutiveLocation: VadodaraExperience : For Officer - 3 Year Min & For Executive - 2 Year MinQualification: GraduationCOMPANY NAME - *ArcelorMittal Nippon Steel India - Payroll Of Aparajitha corporate services (p) ltd - Key Responsibilities:* Effectively handle all Establishment and Payroll related Compliance Activities of...

  • Compliance Executive

    2 weeks ago

    Surat, India Nirmal Vasundhara Pvt Ltd Full time

    We Nirmal Vasundhara Pvt Ltd is recognized for offering end-to-end waste management services catered to assist Producers, Importer & Brand Owners (PIBOs) that comply to EPR under plastic waste management rules 2016 and all the successive amendments, we required: **Jr. Compliance Executive - 2** - Should have 1-2 years of experience - Knowledge of EPR & PWM -...

  • Compliance Professional

    4 weeks ago

    Surat, Gujarat, India People First Consultants Full time

    Job descriptionPrimary Role Periodic reporting as a SEBI registered Stock Broker and Depository Participant and tracking of amendments Regulating Authorities SEBI CDSL NSDL NSE BSE ICCLPeriodic reporting as a PFRDA registered Point of Person for NPS and tracking of amendments Regulating Authority PFRDATo coordinate with the finance operations and...