Compliance Assistant
3 days ago
**Qualifications**
- CA/CS/MBA(Finance)
**Full Job Description**
**Roles & Responsibilities**:
- Should have a sound understanding of financial markets and SEBI laws
- Responsibility for handling Trading, DP, Back Office, RMS, and Exchange & Listing Compliances
- Monitoring day-to-day exchange compliance
- Regular watch and reply to Alerts generated by exchanges
- _Liasioning _with the Exchanges, Depositories, and Regulators
- Study and keep track of Circulars and Regulations
- Reply to Surveillance/ Show cause notices & Adjudicating Orders of SEBI / BSE/ NSE/ MCX/ CDSL and keep track of the same in a timely manner
- Branch and Franchisee visit for Quarterly Audit
- Following Compliance of audit checklist as per Exchange guidelines
- Daily/Weekly/Monthly/QTY/HY/Annual Reporting to SEBI/Exchanges/Depositories
- Intra department and Exchanges queries/ requirements and clarifications. (RMS/ Settlement/ DP/KYC/Banking/Account/Branches/Legal Team.)
- Handling client queries / audit queries / inspection queries
- various procedures involved in stock broking
**Job Types**: Full-time, Regular / Permanent
**Salary**:₹25,000.00 - ₹35,000.00 per month
**Requirements**:
- Skilled in MS Excel, Outlook and Word
- Understanding of stock broking operations
- NISM Certification
**Experience**:
- 0-3 years, Fresher’s may also apply
**Salary**: ₹25,000.00 - ₹35,000.00 per month
**Benefits**:
- Flexible schedule
- Paid sick time
Schedule:
- Day shift
Supplemental pay types:
- Yearly bonus
Ability to commute/relocate:
- Rajkot, Gujarat: Reliably commute or planning to relocate before starting work (required)
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