Aldan - Compliance Officer

1. Regulatory inspections of commodity & Stock market, person should be well versed with internal audits, DP audits, special and Spot inspections, verification of data sub-mitted by all depts., Coordination and Exchange submission, sending suitable reply to the regulatory authorities.

2. Assisting to internal auditors for conducting internal audits of all exchanges on a regular and Periodic basis.

3. Aware of recent circular issued by various regulators like SEBI, RBI and issued by stock exchanges like NSE, BSE. Also, shall be aware of circular and regulation issued by CDSL.

4. Assisting various internal stake holder for implementation of various circular issued by regulator or stock exchanges and depository.

5. Well versed with process of on-boarding of clients at trading member

6. Shall ensure trading terminals related regulation at exchanges

7. Ensure timeliness as per compliance calendar and adhered to various deadlines by regulators, Stock Exchanges and Depository.

8. Shall require sending Information and important Communication to all internal and external stake holder.

9. Monitoring compliance of KYC and AML & PMLA guidelines followed in opening of account by operations team and also Heading KYC.

10. Ensuring proper analysis of alerts received from CDSL and exchanges and closing the same with proper justification.

11. Ensuring analysis of internal alerts closing them with proper justification

12. Reporting of Suspicious transaction to FIU/CDSL/Stock exchanges

13. Follow-ups with the exchanges to obtain the necessary approvals

14. Well versed with handling all types of compliance issue (Monthly, Quarterly, Half Year and Yearly) and Exchange Inspection.

15. Keep up-to date with new Exchanges/SEBI circulars and implement the same

16. Listing Compliances with Stock Exchanges as per the Listing Agreement and SEBI (LODR) Regulations. Listing of new Shares and dealing with Takeover code & insider trading compliances

17. Filing of All Return, disclosures, Declarations, forms, etc. within the time prescribed by Law. Check Regular compliances being done accurately - Enhanced supervision, Margin Reporting, Exchanges reporting.

18. Handle internal audit, exchange Inspection, Exchanges Approvals

19. Handle client complaints