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