Alankit - Compliance Officer - CS/LLB (5-12 yrs)

Education - B.com/M.com/CS/LLB

Key Skills Required :

- Stock Market Exchange compliance, Internal Audit, Liaisoning with NSE/BSE, Inspection.

- Excellent organizational skills, including time management, record keeping, self- scheduling, and follow-up.

- Expertise to draft clear and professional correspondence and other documents of a legal, compliance and business nature.

- Flexible and ability to prioritize tasks and manage multiple tasks within compressed timelines.

- Responsible for regulatory compliance in a stockbroking 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 & By-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.

- Assisting in handling Investor Grievances as per regulatory guidelines.

- Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines.

- Liaising with SEBI, Exchanges, Depositories for routine matters

- Ensure process-oriented, TAT-driven process as per defined SOP.

- Mentor and monitor team to ensure high level of accuracy and timely execution.

- Handling regulatory audits of SEBI, Exchanges, etc.

- Any other compliance matters as assigned from time to time