Compliance Officer

Compliance Officer Who submission and reporting compliance requirements in all exchanges and like weekly, monthly, quarterly, half yearly and yearly submission of exchanges, AP registration, Terminal creation, watch daily margin utilization etc. And also have to look all the operation activities like Demat & Trading, Mutual Fund, and KYC/CKYC Registration.

Job Responsibilities

• Client collateral Segregation
• Client Fund Allocation
• Client Margin Reporting
• Retention Process
• Ap Reporting, Registration and Audit
• Enhance Reporting
• Risk Base Supervision
• Submission Half year Net worth Certificate
• Cyber Security, System Audit and submit VAPT Report
• Fatca Reporting and Annual Submission of Exchanges
• T+2+5 Day working & Roc Related Work
• All other Sebi and Exchange related Reporting

Key Skills

Candidate shall be required to look after the compliance issues relating to rules regulations of SEBI NSE.

Role: Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e NSE & BSE, and depositories, clearing corporations, return filing, monitoring operations, reporting, empanelment, liaising with back office of In case of further queries, please feel free to get in touch.

Fresher - CS Candidates (Preferred)

M.Com Degree Holders with relevant experience