Job Opening in Compliance For Stock Broking Company

Role & Responsibilities:

• Ensuring compliance and reporting as per the rules and regulations framed by regulatory authorities (Exchange, SEBI, CDSL).
• Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time.
• Basic knowledge of Audit and Inspections pertaining to Authorized Person, Depository and Exchange.
• Working knowledge of advisory aligned surveillance and adhoc investigations.
• To implement and compliant with the guidelines and regulations in client services including and not limited to KYC, Customer Due Diligence etc.
• To monitor and update various policies, write-ups, processes, frameworks pertaining to Broking and Depository requirements.

• Desired Skills
• 4 - 8 year of experience in handling compliance activities for Share Broking Companies.
• Excellent written and oral communication skills with attention to details.
• Proficient at using MS Excel and MS word.
• Handled SEBI Regulatory Compliance & Audit.