Compliance Executive
4 days ago
Roles and Responsibilities
· Liasioning with the Exchanges
· Managing Inspections carried out by exchanges , depositories and SEBI
· Managing internal audits related to depositories and Exchanges
· Submission of Enhanced supervision data
· Periodic filings to Exchanges
· Seeking regulatory approvals for advertisements etc
· KYC Compliances and monitoring
· Preparation , submission , and uploading Annual return Compliance to the exchanges.
· Handling investors complaints
· Controls testing , preparing policies , procedures for compliance
· Evaluating new regulatory guidelines and implementation
· Handling internal audits and implementation
· Preparation and submission of MIS and status reports
· Reviewing updating company forms and internal documents in line with applicable stock broking / DP guidelines
· Authorised Person registration process with Exchanges, coordination with AP's for all further updates and AP compliances.
· Liasioning with Company Secretary for all secretarial filings with respect to secretarial changes in the company details.
Desired Candidate Profile
- Should have experience in handling compliances and liasoning with regulators and SEBI
- Effective verbal and written communication skills
- Adept to work in a fast-paced business environment and deliver within tight deadlines
Attitude to learn and grow
Computer knowledge in Microsoft Office and internet usages
Job Type: Full-time
Pay: ₹15, ₹20,000.00 per month
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