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Analyst - Compliance & Legal - BFS (3-5 yrs)
Analyst - Compliance & Legal (Temporary for 12 months & Contract would be renewed after that) in the Compliance & Legal Team based out of Mumbai
Job Responsibilities:
Overall assistance to team in various compliance monitoring activities, including but not limited to trade surveillance.
- Independent handling of all regulatory filings to be filed with SEBI, Exchanges and Group Compliance on monthly/quarterly/half-yearly/yearly/ad-hoc basis, as a Stock Broker, Merchant Banker and Research Analyst.
- Preparation of application to exchanges / SEBI in case of change in Directorships/Shareholding of the Company etc.
- Ensuring that new joiners have completed all the relevant compliance declarations and follow-up.
- Meeting the broker empanelment renewal requirement of existing clients as well as new clients
- Reminding the relevant staff to renew their regulatory licenses on timely basis
- Assist in formulating and implementing compliance policies and plan.
- Ensuring relevant files are uploaded in the personal trading system and otherwise monitoring its efficacy
- Assisting in KYC and KYC Review of clients
Educational / Professional Qualifications
- CS/LL.B/CA/ICWA or any other equivalent professional qualification
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