Compliance Executive

2 days ago

Piplod Surat Gujarat, India Jainam Broking Limited Full time

**Job Description / Responsibilities**:

- Submission and Verification of data of Monthly/ Quarterly/half-yearly and Annual regulatory returns to exchange(s) and to handle day-to-day Regulatory Compliance.
- Analysis skills for verification of data.
- Implementing various circulars issued by NSE/BSE/SEBI.
- To handle regulatory Inspections.
- To Handle Exchange(s) mandated Internal Audits and various other Internal audits and to Co-coordinate with the auditors and exchange(s)for any compliance-related issues.
- To Handle Exchange(s) mandated Inspection to Co-coordinate with the exchange(s) for inspections, any alerts, compliance-related issues.
- To handle investor grievance cases directly received from Exchange(s) and received directly in the company.
- Preparing the Reply and submitting the same to Exchanges towards Investor Grievances.
- To handle compliance-related activities for Broking, IFSC, PMS, Research and Depository Participant Businesses.
- Development as well as assessment of adequacy of policies and procedures and other documents governing business activities to ensure compliance with applicable business regulations.
- To review all in AML/ Surveillance activities and alert. Analysis, Preparation of reply for the same.

**Job specific skills**:

- The incumbent is expected to have good knowledge and experience on regulations governing SEBI, Depositories, Stock exchanges etc. compliance.
- Should have good written and oral communication skills
- Ability to take initiatives and work with minimum supervision.
- Should be a self -starter and should have in depth knowledge of Stock Broking and regulations.
- Should be well organized with an eye for detail.
- Strong documentation and file management skills
- Excellent Knowledge of MS office

**Educational Qualification**:

- Graduate / MBA or equivalent
- CS / LLB would be preferable
- CA would be preferred

**Minimum Experience**:

- Relevant prior experience of 5 years in Stock Broking/DP compliance is must.
- Knowledge of PMS/ Research Regulations / Investment Advisory will be preferred.

**Salary**: ₹18,000.00 - ₹30,000.00 per month

**Benefits**:

- Health insurance
- Provident Fund

Schedule:

- Day shift

Supplemental pay types:

- Yearly bonus

Work Location: In person

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