Compliance Operations

Job Title: Compliance Operations
Designation: Compliance Operations
Location: Colaba Experience: 2+ years Education: B.Com / CS / LLB
About GEPL CAPITAL PRIVATE LIMITED
GEPL Capital is a trusted financial services provider, recognized as the "Maharashtra Best
Employer Brand Award-2018" winner. With a nationwide presence of over 100 offices and a
clientele of 30,000+, we are a member of leading exchanges like BSE, NSE, MCX, and
CDSL.
We pride ourselves on nurturing talent, providing a platform for growth, and ensuring a
balanced work-life environment. Join us and be part of a team that values expertise and
innovation.
Website: www.geplcapital.com
Key Responsibilities
1. Compliance Management:
o File submissions to exchanges with all necessary documentation.
o Regular updates and uploads for Authorized Person files.
2. Client Asset Monitoring:
o Segregation and monitoring of client collateral.
o Cash and cash equivalent supervision.
3. Reconciliation & Reporting:
o Weekly, quarterly, and annual compliance submissions.
o Bank and holding statement reconciliation.
4. Audit & Inspection:
o Managing internal/external audits and SEBI inspections.
o Reviewing logs, audit trails, and inter-departmental audits.
5. Policy Implementation:
o Reviewing and aligning with exchange and SEBI norms.
6. Analysis & Risk Management:
o Analyzing UCC, billing, accounts, and other exchange requirements.

Qualifications
• Education: B.Com with 2+ years of relevant experience.
• Skills: Proficiency in MS Excel and Word.
• Strong communication and analytical abilities.
• Experience handling audits and inspections is a must.
Why Join Us?
• Work in a dynamic and innovative environment.
• Gain exposure to industry best practices and regulations.
• Be part of a supportive team focused on growth and development.
Application Process
If interested, please email your updated resume to recruitment@geplcapital.com with the
subject line: Application for Compliance Operations - Colaba.