Compliance Officer

1 month ago


Ahmedabad, India WorkQuest India Full time

Job Title: COMPLIANCE OFFICER


Responsibilities:


  • Monitoring compliance related developments and rule changes and advising executive management regarding their impact to the organization.
  • Preparing and conducting presentations to the Board of Directors regarding the organization's compliance program and communicating serious compliance matters with the board on an as needed basis.
  • Ensure proper compliance under SEBI act, SCRA, Rules and Regulation & Bye-laws of The National Stock Exchange of India Ltd, The Stock Exchange, Mumbai and circulars issued by SEBI, NSE and BSE from time to time.
  • Handle queries / investigation of stock exchanges and initiate action against the queries.
  • Responsible for various periodical submissions to BSE and NSE.
  • Attend audit & inspections carried out by various authorities prior and post inspection work.
  • Ensure proper management of the various activities so as to avoid non-compliance.
  • Coordinating with Legal persons for Arbitration and Legal Matters PMLA Compliance Looking after the risk management of BROKING businesses.
  • Preparation of daily/weekly MIS pertaining to Risk management.
  • Creation of New user ID / user name change/ Mapin /PRO/CTCL, system audit for exchange compliance & co-ordination with exchanges.

Essential Skills

  • Must have knowledge of Compliance related to Exchange.
  • Certificate of Compliance officer is must.
  • Able to ensure compliances related to SEBI Regulation & other applicable SEBI Regulations.
  • Must have managed Risk and Compliance for a financial services firm.
  • Should comply with other legal requirements from Exchange.
  • Minimum 3 years of experience in the broking industry as a back office executive may apply.

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