Equity Operation

2 weeks ago

Gurgaon, Haryana, India Dhani Loans and Services (DLSL) Full time ₹ 4,00,000 - ₹ 12,00,000 per year

Job Description

Job Title: Compliance & Surveillance Executive

Department: Compliance

Industry: Stock Broking / Capital Markets

  1. Branch Compliance


• Check daily trades from all branches and ensure each trade has proper proof (voice,

email, letter, etc.).


• Match data in SAKSHI and take action on any mismatches.


• Coordinate with branches and other departments to ensure all compliance rules are

followed.

  1. Payout and Incentive Processing


• Release payouts and incentives for AP, RP, RM, BH, RH, ZH, EVP and entire Equity

Sales Team on time.


• Prepare and share daily/weekly/monthly payout and revenue reports.


• Check old/hold payouts as per policy and release if eligible.


• Handle calls and emails from AP/RP/Sales team and resolve queries within TAT.


• Send monthly revenue breakup emails to Referral Partners through Dhaniverse.

  1. Exchange & Internal Alerts Handling


• Monitor and respond to alerts on:

  • NSE Live Surveillance Dashboard
  • NSE Transactional Alerts
  • BSE EBOSS
  • MCX Alert Portal


• Generate and close daily and quarterly internal alerts on TrackWizz within timelines.

  1. AP & ISL Branch Inspection


• Conduct branch and Authorised Person (AP) inspections monthly/quarterly as per

exchange guidelines.


• Ensure all AP/ISL branches follow SEBI, NSE, BSE, MCX and internal compliance

rules.


• Follow up for documents from branches and ensure they are submitted within

deadlines.

  1. Audit & Regulatory Support


• Provide all required evidence and documents for client complaints, audits, and

regulatory queries.

  1. Adhoc Responsibilities


• Attend IGRP hearings and Police-related cases when required.


• Assist HOD with tasks related to exchange circulars, team coordination, and vendor

discussions.

Skills Required


• Knowledge of NSE, BSE, MCX compliance


• Understanding of broking industry rules


• Good communication and coordination


• Basic Excel and reporting skills


• Experience with TrackWizz, EBOSS, SAKSHI (preferred)

Experience


• 15 years in Compliance / Surveillance / Broking Operations.

Warm Regards

Rishu

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