Secretarial Compliance

2 weeks ago


Mumbai, Maharashtra, India ACME SERVICES PRIVATE LIMITED Full time ₹ 9,00,000 - ₹ 12,00,000 per year

Job Description:

  • Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc.
  • Manage all operational processes as per regulatory framework to ensure exchange compliance.
  • Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories.
  • Ensuring timely operational reporting related to Exchanges and SEBI like daily margin reporting of clients, enhanced risk-based supervision, daily monitoring of client collaterals, daily margin statements, other periodic submissions, etc.
  • Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.


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