Compliance Executive- Broking

7 days ago

Ahmedabad Gujarat, India Prudent Corporate Advisory Services Full time

**Function**:
Broking Compliance

**Location**:
Ahmedabad

**Description**:

- Dissemination of relevant circulars & notifications issued by regulators on daily basis to respective departments and to track Actionable, circulars/Notifications with respect to implementation /adherence of said circulars as a part of action point monitoring as and when applicable and to maintain MIS of the same.
- Do settlement of client balances (Fund/Securities) and having brief knowledge of the same.
- Preparation of documentation of AP registration / cancellation and having brief knowledge of AP related compliances.
- Providing NEAT / CTCL terminal and maintain of MIS for the same.
- Submission of Weekly / Monthly / Quarterly / half yearly and Annual regulatory returns to exchange(s) and to handle day-to-day Regulatory Compliance.
- To Co-coordinate with the exchange(s), clients and departments for any compliance related issues.
- Maintain Recording data of clients transaction.
- Prepare and maintain MIS.

**Desired Profile**:
**Experience**:
Min 1 Year

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