Compliance Asst. Manager / Manager For Stock Broking Company

Role & Responsibilities:

• Ensuring compliance and reporting as per the rules and regulations framed by regulatory authorities (Exchange, SEBI, CDSL)
• Replying to compliance related queries
• 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.
• To track day to day circulars / notifications / notices issued by regulatory
• Ensure appropriate and timely alert management
• Basic knowledge of Audit of Authorized Person and Audit of Exchange.
• Working knowledge of advisory aligned surveillance and adhoc investigations.

Desired Skills

• 3 - 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